Futures in China
Regulation on Handling Complaints 2014-09-01

1. To maintain the three principles of “justice, fairness and openness” and to protect the legal rights and interests of the market participants, this regulation is hereby formulated in accordance with the responsibility of the department and trading rules.

 

2. Complaints from the members, clients and other participants of the futures market are accepted whether they are filed through the supervisory hotline of the Exchange, in written documents, in person or by other means.

 

3. The staff members should run through the substance of the complaints and deal in time with the eligible ones:

a) The complainant should be a market participant or the agent thereof, who work at or with the Exchange and whose legal rights and interests are violated.

b) Having a definite object of complaint and factual evidence thereof.

 

4. For oral complaints, the staff members may respond orally and record the handling processes duly.

 

5. For complaints lacking in evidence or clarity, the complainants thereof should be notified in time and the complaints will handled after all necessary materials are submitted.

 

6. The complaint handling staff members should take facts as the basis, and deal with complaints in fairness so as to protect the legal rights and interests of both parties. Mediations should be based on clarified facts and liabilities as well as the agreement between both parties.

 

7. For cases where no mediation can be effected, the complainants should be timely informed and the complaints should be handled by legal procedures.