To enhance the quality of services provided to wealth management customers, the Company's channels for receiving customer complaints, internal investigation and handling procedures, and response methods are handled as follows:
I. Complaint Channels
Customers may submit complaints through channels such as telephone, written correspondence, email, or by visiting the Company in person.
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Wealth management, Sub-brokerage |
Derivatives Financial Products- Equity |
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| 886-2-2389-0088
8F, No. 700, Mingshui Rd., Zhongshan Dist., Taipei City KGIS
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886-2-2181-8766
9F, No. 700, Mingshui Rd., Zhongshan Dist., Taipei City KGIS Derivatives Dept.
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Derivatives Financial Products- Interest Rate, Credit |
Overseas Bonds |
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| 886-2-2181-8862
9F, No. 700, Mingshui Rd., Zhongshan Dist., Taipei City KGIS Global Market Dept.
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886-2-2181-8862
9F, No. 700, Mingshui Rd., Zhongshan Dist., Taipei City KGIS Global Market Dept.
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International Underwriting |
Foreign Exchange |
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| 886-2-2181-8115
3F, No. 700, Mingshui Rd., Zhongshan Dist., Taipei City KGIS Capital Market Dept.
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886-2-2181-8859
9F, No. 700, Mingshui Rd., Zhongshan Dist., Taipei City KGIS Global Market Dept.
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II. Internal Investigation and Handling Procedures
The Company will assign appropriate personnel to investigate the complaint and report the investigation results to the relevant supervisors. The supervisors will determine the appropriate handling measures and corrective actions based on the circumstances of the case and provide a response to the complainant within the timeframe specified below. The Company will not accept complaints or reports submitted anonymously or under a false name.
III. Response Methods
The Company will reply with the status of the complaint handling process via telephone, online communication, fax, postal mail, or email within thirty (30) days from the date the complaint is received.
IV. Further Dispute Resolution
If the complainant does not accept the resolution provided in the Company's response, the complainant may apply for mediation or other equivalent procedures with a third-party impartial institution, such as the Trust Association of the Republic of China, the Taiwan Securities Association (TSA), the National Futures Association of the Republic of China, the Securities and Futures Investors Protection Center (SFIPC), or any other financial consumer dispute resolution institution established in accordance with applicable laws.
Please note that clients of Offshore Securities Unit (OSU) business do not qualify as "financial consumers" as defined under the Financial Consumer Protection Act. Accordingly, disputes arising from OSU business are not subject to the financial consumer dispute resolution and ombudsman mechanism under the Financial Consumer Protection Act.