Handling Client Complaints

Definition of Complaint

A “complaint” is deemed to be “any oral or written statement alleging a grievance involving the activities of those persons under the control of the Company (Employee), in connection with the provision by the Company of the services.”

The company maintains online readily and publicly available all necessary instructions and means for a client to submit a complaint.

Documentation details

In the case of a client complaint, the following main details are documented:

  • The identity of the client who filed the complaint
  • The identity of the employee that undertook to provide the service to the client
  • The department to which the relevant employee relates to
  • The date of receipt of the complaint
  • The details of the complaint – full description
  • The extent in financial terms of the potential loss that the client claims has suffered
  • The date and in summary, the content of the reply of the company to the said complaint
  • Complaint Reference Number

Notifying Manager of Complaints

Any and all complaints regarding the Company or a Principal or any Employee or any other Associated Person, whether oral or written, must be immediately brought to the attention of the Manager of Complaints and General Manager.

Overall Procedure:

The client can submit a complaint online, in writing, by email ([email protected]). Consequently, a designated officer handles it according to a specific section of this manual: “Handling Client Complaints”

All complaint submission contact details, forms and relevant information are available by sending a request to the company’s email address ([email protected]).

The Company confirms receipt of a Complaint by a Complainant within 5 days.

The designated officer then asks the client, company’s personnel, or any relevant person considered necessary to submit report, in order to facilitate the complaint’s investigation procedure and the corresponding internal processes.

In case the designated officer does not conclude the investigation in 1 month’s time following the submission of a complaints, the company will inform the client in writing on the investigation’s progress. 

This period in which the Company has to respond cannot exceed 3 months.

When the investigation is concluded, the officer presents the report to the manager and if deemed necessary submits it to the Board of Directors, and finally either of the two company authorities will decide on the actions to rectify the matter. Such decision is communicated as soon as possible to the client.

Submission of client information online:

The complaint form (online publicly accessible) of the company asks for the following client information:

Name, Account Identification Number, Address, Telephone, Company member designated to client (if applicable), Company member relevant to the complaint (if applicable), Complaint details, Date, Customer’s Signature.

Maintenance of Complaint Files

The Designated Officer maintains a central record of all complaints that includes the documentation details mentioned previously.

Maintenance of Applicable Regulator Rules

The Company keeps reviewing the rules of the appliable regulator and all additions and amendments thereto which may, from time to time, be made, and of all interpretative rulings made by the such regulator. All clients can make a request to the updated amendments.

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