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FSC held a meeting to commend securities firms with outstanding performance in regard to “Treating Customers Fairly Principle”

2019-08-16
The FSC held a meeting on August 16 for communication over the mechanism for assessing performance of securities firms in regard to their compliance with Treating Customers Fairly Principle and acclaim of the securities firms with outstanding performance. The FSC presented awards to the outstanding companies, which shared their compliance practices and related experiences with their peers for their reference with respect to their promotion of consumer’s interest protection. The FSC also shared noncompliance situations in the industry discovered through its supervision activities and related cases for review of operation procedures or establishment of control mechanism of these companies, in order to enhance their mechanism and performance of compliance with the Treating Customers Fairly Principle.
Visitor: 968   Update: 2019-10-30
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