) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to access inside information of a securities