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https://www.hkma.gov.hk/eng/smart-consumers/complaints/complaints-about-banks/
If a customer considers that a bank has not handled his/her case properly, he/she can make a complaint to the bank concerned or the HKMA against the bank concerned. The HKMA will follow up on each complaint case, and requires the bank concerned to handle the complaint properly and provide a reply to the complainant.
https://www.hkma.gov.hk/eng/regulatory-resources/regulatory-guides/circulars/2002/07/circu_20020722a/
Please note that with immediate effect the HKMA will direct all complainants who have not made use of the AI's own complaint handling procedures to the AI concerned. In this connection, I would be grateful if you could provide us with the contact details of your complaint officer or unit in the attached form within two weeks from date of this ...
http://www.hk-lawyer.org/content/hkma-outlines-three-levels-enforcement
Jun 21, 2016 · Hong Kong's banking regulator has outlined three levels of severity for supervisory actions on regulated entities, as part of an effort to enhance transparency around its risk-based approach to supervising the market. The Hong Kong Monetary ("HKMA") also made it clear that it holds banks' boards of directors and senior management responsible for having adequate systems and
http://www.sfc.hk/web/EN/files/ER/PDF/How%20to%20make%20a%20complaint_Eng.pdf
complaint with the complaints officer of the intermediary involved. The contact details of the complaints officer of each brokerage or registered institution can be found in ... Email : [email protected] Target Listed companies in Hong Kong (listing-related matters, except for takeovers and mergers)
https://www.vc-bank.com/en/complaint-handling-procedure.html
Complaints Handling Procedure. ... Below is a simplified easy-to-use guide on how to communicate the complaint with us. ... In the unlikely event that you are not entirely satisfied with the resolution of your complaint, the Customer Complaint Officer will direct you on how to escalate your complaint …
https://www.firstbankak.com/_/kcms-doc/564/8448/ComplaintPolicyandProcedures.pdf
Complaint Procedures It is the policy of First Bank to respond to customer complaints, disputes and issues swiftly and to take each complaint seriously. It is not the intention to burden the bank or customers with documentation or paperwork in order to resolve issues brought to the bank’s attention in the normal course of business.
https://www.haventreebank.com/contact-us-2/complaints-management/
How to Make a Complaint. At Haventree Bank, we are committed to providing the best possible service to all our customers. We understand that sometimes you may have concerns. We want to handle your complaint in the most efficient and professional manner possible. Here is a step-by-step guide on how to file a complaint with us.
https://www.bdo.com.ph/sites/default/files/pdf/HK-Microsite-Customer-Complaint-Handling.pdf
Complaint Officer under strict confidentiality codes in accordance with our internal guideline. The Bank will send a letter of acknowledgement to you within seven (7) days of receipt of the complaint, a copy of this guidance note and the HKMA leaflet on dealing with complaints will be provided.
https://www.bnpparibas.com.hk/en/client-complaints/
Refer to the Complaint Handling Officer published on the HKMA/SFC websites: HKMA; SFC: BNP Paribas; ... What is the process: When we receive your complaint, we will write to you to acknowledge your complaint within 7 calendar days upon receipt and will investigate your concerns. We will aim to provide a written interim or final response with ...
https://www.mas.gov.sg/~/media/MAS/Regulations%20and%20Financial%20Stability/Regulatory%20and%20Supervisory%20Framework/Risk%20Management/RMG%20Internal%20Control_1%20Apr%202013
GUIDELINES ON RISK MANAGEMENT PRACTICES MARCH 2013 - INTERNAL CONTROLS MONETARY AUTHORITY OF SINGAPORE 3 supervision over the conduct of dealers and their relationship with brokers.
https://www.weil.com/~/media/files/pdfs/150154_pcag_board_requirements_chart_2015_v21.pdf
family member36 is, or has been within the last three years, an executive officer of company;38 • Director has received, or has an immediate family member who is an executive officer of company and has received, during any twelve-month period within the last three years, more than $120,000 compensation directly from company (not
https://www.ifec.org.hk/web/en/financial-products/insurance/product-types/ilas/faq/how-to-complain.page
If you wish to make a complaint about an ILAS product, the first step is to contact the complaint officer of the bank, insurance company, agent or broker you dealt and to raise your concerns with them. ... (HKMA) Website: www.hkma.gov.hk Email: [email protected]
http://www.sfc.hk/web/EN/regulatory-functions/intermediaries/licensing/ongoing-obligations.html
» Ongoing obligations » Online Portal ... The SFO requires that there must be at least one responsible officer available at all times to supervise the licensed corporation’s business of carrying on a regulated activity. If all responsible officers are out of Hong Kong on a business trip or on leave, the licensed corporation complies with ...
Office of the Privacy Commissioner for Personal Data, Hong Kong
https://hk.linkedin.com/in/ryan-kwok-23a167104
View Ryan Kwok’s profile on LinkedIn, the world's largest professional community. Ryan has 3 jobs listed on their profile. See the complete profile on LinkedIn and …Title: Assistant Manager (Enforcement) …
https://www.ifec.org.hk/web/en/financial-products/personal-banking/consumer-protection.page
Your complaint has been properly handled by the bank in accordance with our guidelines on complaint handling. Your complaint raises any concerns about the bank's business practices or the conduct of its staff. Following the assessment, the HKMA will decide whether and what action should be taken.
http://www.hkma.org.hk/news_view.asp?news_no=20150605001&ver_type=E
For programmes 1-51, please contact HKMA on 2774 8500 / 2774 8501. For programmes 52-56, please contact FHKI on 2732 3191 / 2732 3118. How to apply. Applicants are requested to submit the application form, course enrolment form and photocopies of relevant certificates to The Hong Kong Management Association.
https://www.finra.org/compliance-tools/anti-money-laundering-template-small-firms
FINRA provides a template for small firms (Word format 164 KB) to assist them in fulfilling their responsibilities to establish the Anti-Money Laundering Program. The template provides language concerning, among other things, the final customer identification rule.
https://iclg.com/practice-areas/data-protection-laws-and-regulations/hong-kong
Hong Kong: Data Protection 2019. The ICLG to: Data Protection Laws and Regulations - Hong Kong covers relevant legislation and competent authorities, territorial scope, key principles, individual rights, registration formalities, appointment of a data protection officer and of processors - in 42 jurisdictionsBrand: ICLG
https://www.info.gov.hk/gia/general/200810/31/P200810310195.htm
Oct 31, 2008 · The HKMA will co-ordinate referrals and pay the share of the fee for these services on behalf of * investors whose complaints in relation to the sale of the products have already been referred by the HKMA to the Securities and Futures Commission (SFC) for it to decide whether to take any further action, or * investors whose complaint has ...
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