Hong Kong Regulations

LEVERAGED FOREIGN EXCHANGE TRADING (BOOKS, CONTRACT NOTES AND CONDUCT OF BUSINESS) RULES - SECT 23

Record of client's complaints

Caution: This is a past version. See the current version here.

(1) A licensed trader shall-

   (a)  maintain a written record of any complaints from clients; and

   (b)  establish and implement proper procedures for handling and
        investigating such complaints.

(2) A licensed trader shall ensure that client complaints are dealt with
promptly and remedial action is taken as soon as possible.

(3) A licensed trader shall inform a client of the results of any complaints
made by him as soon as practicable and in any event within 3 days of
determining the results of that complaint. (Enacted 1994)