Client’s Complaint Handling Procedure
of Offshore Securities Unit

Client’s Complaint Handling Procedure of Offshore Securities Unit
For enhancement of service quality of the Company’s Offshore Securities Unit, the methods for client to file complaint, procedure of internal investigation and response to client’s complaint are set out herein.
1.Methods for Client to file Compliant：

Client may file complaint with the Company by phone call, physical letter, e-mail or appearing in person.

Business of Wealth Management, Foreign Shares and Foreign Currency Denominated Funds
886-2-2181-8086
14F., No.2, Sec. 1, Chongqing S. Rd., Zhongzheng Dist., Taipei City 100, Taiwan (R.O.C.)
Wealth Management Planning Department
Business of Financial Derivatives-Equity-linked
886-2-2181-8766
9 Fl., No. 700, MingshuiRd., Zhongchan Dist.,Taipei
Equity Derivatives Department
Business of Financial Derivatives-Interest rates/
Credits-linked
886-2-2181-8862
9 Fl., No. 700, MingshuiRd., Zhongchan Dist.,Taipei
Fixed Income Department
Business of Foreign Bonds
886-2-2181-8862
9 Fl., No. 700, MingshuiRd., Zhongchan Dist.,Taipei
Fixed Income Department
Business of International Underwriting
886-2-2181-8153
3 Fl., No. 700, MingshuiRd., Zhongchan Dist.,Taipei
Investment Banking Department
Business of Foreign Exchange
886-2-2181-8841
9 Fl., No. 700, MingshuiRd., Zhongchan Dist.,Taipei
Fixed Income Department
2.Procedure of Internal Investigation：

The Company will designate the employee to carry out internal investigation on the case of compliant. The designated employee shall report the conclusion of the internal investigation to the relevant officer(s) and the relevant officer(s) may, subject to the conclusion of internal investigation and the case of complaint, handle the relevant matters relating to the complaint and make any improvement if necessary. The Company will respond to the complainant within the time limit as specified below. Any complaint filed anonymously or in false name is not acceptable.

3.Response to Client’s Complaint：

The Company will make response to client’s complaint by phone call, internet, fax, physical letter, e-mail or other means of communication within 30 days after the complaint is received.

4.

If the complainant does not accept the response of the Company, the complainant may seek for mediation or other equivalent or similar solutions for disputes by submitting the complaint to the third-party independent institutions, such as Trust Association of R.O.C., Taiwan Securities Association, Chinese National Futures Association, Securities and Futures Investors Protection Center or other institutions legally established for disputes handing.
Please note that the clients of Offshore Securities Business are not financial consumers as defined under Financial Consumer Protection Act, therefore, the disputes arising therefrom or relating thereto shall not apply to the procedure for handling financial consumption disputes.