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Article NO. Content

Title:

Directions for the Conduct of Wealth Management Business by Securities Firms  CH

Amended Date: 2015.01.21 
15     When a securities firm adopts procedures for the use of customer data, maintenance of its confidentiality, and the handling of customer comments, such procedures shall at least include:
  1. The scope of use and maintenance of customer information and levels of personnel authorization, and control mechanisms to guard against unauthorized disclosure and other improper use of customer information.
  2. Working procedures governing the processing of customer comments and complaints, and investigation of, response to, and handling of customer comments and complaints. In addition, the person in charge shall periodically monitor and provide guidance on the handling of customer complaints.