Regulatory Alerts2009-03-05
Added · Updated
Fair and reasonable arrangements for settling complaints related to the selling of investment products
The Circular on Rules of Thumb for Handling Complaints was issued by the Securities and Futures Commission to guide registered institutions in managing client disputes. It requires firms to establish fair and reasonable arrangements for settling complaints related to the selling of investment products. The document outlines specific procedural expectations to ensure adequate handling of client grievances within the wealth management sector.
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