of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
malpractices of any SEC official, you can lodge a complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure
complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure transparency and fairness. HR Director Tel/Fax
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
% 13% 11% Undergraduated Degree 327 928 138 1393 74% 59% 58% 62% Master Degree or Higher 77 461 70 608 17% 29% 29% 27% Total 444 1573 238 2255 100% 100% 100% 100% Investor Types TotalEducation Occupation
effective and appropriate risk management and an internal control system in compliance with the applicable laws, and ensure that conflicts of interest are effectively dealt with and complaints are handled