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Article 4
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- Application qualification: All securities firms.
- Establishment standards:
- Venue: Not limited to a place within the county/city where the head office or branch is located, provided the venue shall not be used as a place where clients may visit in person. If it is located within the head office or branch, there should be a clear separation with the business premises.
- Equipment:
- The securities firm shall assess the information and communication security and personal information risks for the services available by the equipment and establish control measures.
- The information and communication security mechanism shall meet the standards and requirements of the securities firm’s internal control system.
- Staff qualification:
- The securities firm may have an adequate number of business staff or the head office or branch may designate the staff familiar with the applicable securities laws and operational procedure to take the role concurrently.
- The business staff providing services at the customer service center must register as digital service staff at the one-stop website for securities firm’s registration. Also, the official and unofficial concurrent duties must be consistent with the Rules Governing Responsible Persons and Associated Persons of Securities Firms.
- Scope of services
- Provide client consulting services, resolve consumer disputes and handle feedbacks.
- Passively provide clients with information about financial products, trading platform, activities relating to securities business and market updates.
- Not to provide any advice on client’s investment portfolio that involves business promotion, or accept client’s consignment on securities trading, or accept client’s personal visit for application for or discussion of business.
- Procedures for application for installation or change
- The securities firm shall submit the following application documents, specifying the venue to the responsible entity for approval:
- Description of the scope of services.
- List of staff and qualification certification documents.
- Floor map and photographs of the venue.
- Information showing the equipment satisfies the standards, information and communication security risk assessment documents and control measure shall include description of equipment deployed in the customer service center, physical environment security control, details of hardware and software, and the securities firm’s information and communication security, personal data risks and control measures with respect to the services available at the customer service center.
- In the event of expansion or contraction of the customer service center, prior to its use, a report containing the floor map and photographs of the venue shall be submitted to the responsible entity for recordation. Before the center is removed, a report containing the reason for the removal shall be submitted to the responsible entity for recordation.
- Retention of records and control measures for service statement
- The communications between the securities firm and client, including but not limited to telephone recordings, and chat records with the AI customer services, shall be retained for at least one year, except for those involving disputes or complaints which shall be retained until the disputes are resolved or complaints are settled.
- The securities firm shall disclose a statement describing the purpose of installation of the customer service center, scope of services and prohibited activities on its official website.
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