● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full name of the investment consultant. ● Name of Securities/derivatives intermediary or the
company under the SEC supervision, first of all, the complainant should contact the compliance unit of the company directly because the compliance unit is authorized to monitor staff operations according to
incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants / investment analysts / unit sellers to give information or advice on the invested products or