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Legislation & Regulations

Circulars

Circulars: SU/CCI/2012/007
 
To: All Corporate Intermediaries
 
 Email
 
Dear Responsible Officer,
 
This circular email is the seventh in the current series concerning the implementation of the Mandatory Provident Fund Schemes (Amendment) Ordinance 2012.
 
Submission of Complaint Register on a Monthly Basis
 
As stated in para. III.61(g) of the "Guidelines on Conduct Requirements for Registered Intermediaries", all principal intermediaries (PIs) are required to maintain a register of complaints which should be made available as soon as practicable to the MPFA and frontline regulators upon their request
 
With the launch of ECA on 1 November 2012, the Authority requires more frequent information on the number and nature of complaints received by principal intermediaries.  Therefore, in addition to the submission of the "Quarterly Return on Complaints against MPF Intermediaries received by Principal Intermediary" as mentioned in our circular letter dated 22 October 2012, the Authority now requests all principal intermediaries to submit a copy of their complaint registers on a monthly basis.  This arrangement will be subject to review in due course.  Any non-compliance may cast doubt as to whether S.34ZL(3) of the Mandatory Provident Fund Schemes Ordinance has been compiled with.
 
Submission Deadline
 
Please submit a copy of your complaint register within 5 working days after the end of each calendar month.  For complaints received by PIs in November 2012, the submission deadline is on or before 7 December 2012.  For complaints received in December 2012, the deadline is on 8 January 2013; for January 2013 complaints, the deadline is on 7 February 2013.  We shall inform you if further submissions are required in due course.
 
Please note that NIL returns are required.
 
You are required to submit the complaint register to MPFA with password protection via the designated email address INT_ComplaintReturn@mpfa.org.hk.  The password will be advised by MPFA via email to your Responsible Officer(s) before the end of each month.
 
Please contact us on 2292 1213 or 2292 1617 or by e-mail at INT_ComplaintReturn@mpfa.org.hk, if you have any questions. 
 
Thank you for your co-operation.
 
Regards
Robin Gill
Head (Intermediaries)
 
c.c. Hong Kong Monetary Authority – Mr Kevin Sham
      Securities and Futures Commission – Mr Sam Tung
      Office of the Commissioner of Insurance – Ms Shirley To

Last Revision Date: 17/10/2014