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Consultation and Complaint-Filing

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Consultation and Complaint-Filing
Procedure and Requirements

Telephone or On-Site Inquiries:

  1. SFIPC staff will take investor phone calls or accept walk-in inquiries for consultation service. Questions will be answered immediately or addressed at a later time if more time is required.
  2. SFIPC will maintain a log of investor phone calls or on-site inquiries to track the investors’ names and the details and outcome of particular cases.
  3. The Center reserves the right to transfer a case to another agency as it deems appropriate.

Written Request:

  1. If investors ask the Center to file complaints on their behalf, they should provide their names, mailing address, phone number, and copies of related documents.
  2. Investors may also send written requests to the Center by mail, fax. Upon receiving such requests, the Center will register them and turn them over to related divisions.
  3. The Center will not deal with complaints under the following situations:
    a. The case does not involve civil disputes arising from securities issuance, IPO, securities or futures transactions, or other relevant issues among investors and securities issuers, securities firms, securities services providers, futures firms, the Taiwan Stock Exchange, Taipei Exchange Market, settlement institutions, and others.
    b. The applicant is not a securities or futures investor.
    c. There is not a party against which the complaint is to be filed.
    d. A district court has already ruled in the case.
    e. The case deals with civil disputes resulting from securities or futures trading between the applicant and a firm that operates without a license.
    f. The complaint has to do with a binding court ruling.
    g. The application is incomplete.
     
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Update Date:2018/03/20 18:18