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Article 20
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A securities firm shall handle customer complaint cases in a fair, reasonable, and effective manner, with the goal of protecting customer rights and interests.
A securities firm that enters into financial derivatives trades with ordinary customers shall adopt procedures for the handling of customer complaints, which shall include the following:
- Establishment of a channel for customer opinions and customer complaints.
- Adoption of appropriate methods and procedures for investigation of complaints.
- Establishment of a unit or personnel with responsibility and authority for investigations.
- Establishment of methods and procedures for responding to complaints, and procedures for follow-up management. The methods and procedures must conform to the requirements of the Financial Consumer Protection Act.
When there is a cumulative total of five unresolved customer complaints under the preceding paragraph, the general manager shall convene an internal meeting to propose methods of resolving the cases and produce a concrete plan for reducing the number of customer complaints. A record shall also be made at the meeting of related matters, the status of implementation, and an assessment of effectiveness, which shall be reported to the board of directors. Within 2 weeks after reporting to the board, the record shall be submitted by letter to the TPEx.
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