Quarterly Complaint Return 2018Q4

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Explanatory Notes (p1)
表格 1
表格 1
Return-Part A
表格 1
Return-Part B
表格 1
Remarks
表格 1
Return-Part C
表格 1
Return-Part D
表格 1
Annex 1
表格 1
Annex 2
表格 1
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能與 Excel 不同。
Excel 工作表名稱
Return-Part A
Return-Part B
Remarks
Return-Part C
Return-Part D
Annex 1
Annex 2
Mandatory Provident Fund Schemes Authority
Explanatory Notes for Quarterly Return on Complaints against MPF Intermediaries

received by Principal Intermediary
1. Conduct Requirement
a. Under para. III.61 of the "Guidelines on Conduct Requirements for Registered Intermediaries" ("Conduct Guidelines"), a principal
intermediary ("PI") should maintain procedures and controls to ensure, among other things, -
(i) all complaints are fully documented (including resolution if any) and that a summary of the complaint cases be provided to the MPFA on a quarterly
basis [para.III.61(f) of "Conduct Guidelines"]; and
(ii) a register of complaints, containing information including but not limited to the name of complainant, the target of the complaint, the date of
submission of the complaint, the nature of the complaint and the date the complaint is remedied/addressed, whether the complaint is substantiated, a
summary of the investigation results and action taken and whether there is any breach of legislation, guidelines or regulations administered by the MPFA
is maintained. The register should be made available as soon as practicable to the MPFA and frontline regulators upon their request [para.III.61(g) of
"Conduct Guidelines"]
b. Any non-compliance of the above may cast doubt as to whether S.34ZL(3) of the Mandatory Provident Fund Schemes Ordinance ("MPFSO")
has been complied with and may result in a referral by the MPFA to the relevant Frontline Regulator ("FR") for investigation.
2. Definition of Complaints for the purpose of this return
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a. A complaint against an MPF intermediary (or a former MPF intermediary) or any other person, is an expression of dissatisfaction, made verbally or in
writing by any person against an individual or organization, on matters relating to the conduct of sales and marketing activities, and the giving of advice,
in relation to MPF registered schemes.
b. Exclusion Rule: Complaint cases which can be resolved within 48 hours (excluding Saturdays, Sundays and public holidays) of receipt may be
excluded, provided that:- (a) no further follow-up action is required by the PI; and (b) the PI is able to confirm with the complainant (unless the
complainant's contact details are not available to the PI), that the complainant is satisfied with the outcome and does not require further handling of the
complaint. However, a case which can be resolved within 48 hours should fall within the standard definition of a complaint if it involves alleged criminal
offences or non-compliance with the relevant laws, regulations, codes or guidelines.
3. Submission of Return
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a. Please send the completed Return to the designated email address INT_ComplaintReturn@mpfa.org.hk through encrypted email with password
protection. The password will be advised by the MPFA through email to the respective Responsible Officer of the PI by the end of each quarter.
b. The submission of Return is on a quarterly basis (except for the 1st Return which only covers complaints received in November & December 2012).
The submission deadline is within 10 working days from the end of each quarter.
c. In reviewing the Returns submitted by PIs, the MPFA or relevant FR may request for more information in relation to particular complaints.
d. If there is any question regarding this Return, please contact us by phone at 2292 1213, 2292 1214, 2292 1217, 2292 1617 ; or by email at
INT_ComplaintReturn@mpfa.org.hk
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4. Completion Instruction
The Return consists of Part A, B, C and D.
For Part A:
Part A(i) : Statistics by allegation categories

Column (1) Complaint Allegation Categories: please see Annex 1 for the relevant sections or paragraphs of MPFS
Column (2) No. of complaints received under each category during the reporting quarter: If a complaint case inv
Column (3) Total no. of complaints received under each category since 1 November 2012. Figures are cumulativ
Column (4) Action Taken: a breakdown of Column (3) by case progress and status for all active & closed compla
Definition of "Allegation unsubstantiated" & "Non-Pursuable":

Allegation unsubstantiated means cases without sufficient evidences to support the allegations after investigation
Non-pursuable means cases that could not be concluded as substantiated or unsubstantiated, e.g. due to lack of
Part A(ii): please fill in the actual number of complaints received in the reporting quarter and cumulative since 1
Part A(iii): please fill in the actual number of cases referred by trustee(s) which are (i) registered by PI as compl
as specified in Section 2b of this Explanatory Notes for the reporting quarter and cumulative since 1 November 2
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Example of reporting statistics for Part A(i), A(ii) & A(iii) in a particular quarter
PI's Internal No of
Allegation Categories
Case Ref No. allegations
(3) CG - Rebates, Gifts and

Incentives,
(9) CG - Prompt Execution,
(10) CG - Care for Clients with
C00000001 Special Needs, 5
(13) CG - Suitability Assessment,
(27) Service Quality and Attitude
(1) CG - Accurate Representations,

(4) CG - Best Interests of the Client
C00000002 2
(9) CG - Prompt Execution,

(10) CG - Care for Clients with
Special Needs ,
C00000003 3
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(13) CG - Suitability Assessment,

(15) CG - Risk Matching,
C00000004 (27) Service Quality and Attitude 3
Total 4 13
For column 2 of Part A(i), the total number of complaint allegations in this quarter shall be reported as 13
For Part A(ii)(a), the number of complaints received in this quarter shall be reported as 4
For Part A(iii)(1a), the number of complaints referred by trustee shall be reported as 2
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For Part B: (You may refer to Annex 2 for the reporting format of the above example)
(a) This part is a rollover summary of all complaints including all active & closed complaints in the current and pa
exercise ; further instruction will be provided).
(b) For columns (1) and (9) regarding the complaint received date by PI and the incident date, please report the
are a series of incidents occurred.
(c) A complaint may be referred to PI from different sources or against more than one intermediary or related sc
according to the circumstances of the complaint. Also, if multiple entries are involved, please use one cell for eac
(d) For column (3), if "Others" is selected, please specify the details in the "Remarks" sheet.
(e) For column (4), if a complaint case involves multiple allegations, please report all the relevant categories. Als
(26) is selected, please specify the relevant section or paragraph in the "Remarks" sheet. If catergory (28) is se
(f) For column (11) regarding the investigation result, they shall be reported according to their respective compl
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(g) Pull-down menus are available for selection with details as follows:
Column (3) Source(s) of Complaint: i)MPF scheme members; ii)Referred by MPFA; iii)Referred by trustee; iv)Ref
sheet)
Column (4) Complaint Allegation Categories: The 28 allegation categories as listed in Part A
Column (10) Case Status: i)Active; ii) Closed
Column (11) Investigation Result: i)Allegation substantiated; ii)Allegation unsubstantiated; iii)Non-pursuable; iv)
For Part C :
NIL Return Confirmation - If no complaint has been received by PI and there is no update in the status of existin
For Part D:
Please complete Part D for the name and information of the contact person of your company.
Enforcement Division
June 2017
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ections or paragraphs of MPFSO or Conduct Guidelines.

uarter: If a complaint case involves multiple allegations, please report all relevant categories in this column.
r 2012. Figures are cumulative until further instruction of cut-off exercise.
for all active & closed complaints. Figures are cumulative until further instruction of cut-off exercise.
e allegations after investigation by PI;

bstantiated, e.g. due to lack of further evidence/information provided by complainants.
uarter and cumulative since 1 November 2012 respectively.
e (i) registered by PI as complaints and reported in Part A(ii) of the Return or (ii) excluded according to the Exclusion Ru
umulative since 1 November 2012 respectively.
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Source(s) of For column 2 of Part A (i), the statistics shall be

Complaint reported as follow:
No. of complaint allegation categories:
(1) CG - Accurate Representations : 1

(3) CG - Rebates, Gifts and Incentives : 1
Trustee (4) CG - Best Interests of the Client : 1
(9) CG - Prompt Execution : 2
(10) CG - Care for Clients with Special Needs : 2
(13) CG - Suitability Assessment : 2
(15) CG - Risk Matching : 1
(27) Service Quality and Attitude : 3
FR
Media
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Trustee & media
Total: 13
shall be reported as 13
d as 4
as 2
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ple)
mplaints in the current and past quarters (Closed complaints are to be retained in the table until annual clean up
cident date, please report the earliest / initial date if more than one complaints received from different sources or there
one intermediary or related scheme. As such, multiple selections or entries under columns (3), (6), (7), (8) or can be ma
ed, please use one cell for each entry.
ks" sheet.
all the relevant categories. Also, if multiple allegations are involved, please use one cell for each allegation. If category
sheet. If catergory (28) is selected, please specify the details in the "Remarks" sheet.
ding to their respective complaint allegation categories at column (4).
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iii)Referred by trustee; iv)Referred by FR; v)Referred by media; vi)Others (please specify the details in the "Remarks"
in Part A
ntiated; iii)Non-pursuable; iv)Withdrawn by complainant
update in the status of existing cases in the reporting quarter, please complete Parts C and D only.
r company.
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nt categories in this column.
on of cut-off exercise.
inants.
) excluded according to the Exclusion Rule
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in the table until annual clean up
received from different sources or there
er columns (3), (6), (7), (8) or can be made
one cell for each allegation. If category

sheet.
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se specify the details in the "Remarks"
Parts C and D only.
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Mandatory Provident Fund Schemes Authority Quarterly_Complaint_Return_2018Q3.xlsx
Quarterly Return on Complaints against MPF Intermediaries to be submitted by Pri
Part A
(i) By allegation categories
(For All Compla
Total no. of Active complaints
(1) Complaint Allegation Categories

(2) No. of (3) Total no. of
complaints complaints
received under received under
each category each category Under
during this since 1 November Investigation
reporting quarter 2012 (≦2 mths)
1 Conduct Guidelines ("CG") - Accurate Representations 0 0 0
2 CG - Advertising and Marketing Material 0 0 0
3 CG - Rebates, Gifts and Incentives 0 0 0
4 CG - Best Interests of the Client 0 0 0
5 CG - Confidentiality of Client Information 0 0 0
6 CG - Handling of Client Complaints 0 0 0
7 CG - Understanding of MPF System, Relevant Concepts and
Products (including Promoted Registered Schemes and Constituent 0 0 0
Funds)
8 CG - Keeping Record of Orders 0 0 0

9 CG - Prompt Execution 0 0 0
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10 CG - Care for Clients with Special Needs 0 0 0

11 CG - Adequate Training, Skills and Knowledge 0 0 0
12 CG - Know Your Client 0 0 0
13 CG - Suitability Assessment 0 0 0
14 CG - Lack of Necessary Information 0 0 0
15 CG - Risk Matching 0 0 0
16 CG - Disclosure of Necessary Information to the Client regarding:
~Principal Intermediary
~Subsidiary Intermediary 0 0 0

~monetary and non-monetary benefits of intermediaries
~fees and charges 0 0 0
18 CG - Documentation on information provided about Principal /

Subsidiary Intermediaries / Monetary and Non-monetary Benefits of
Intermediaries 0 0 0

~scheme/fund
~investment performance 0 0 0

~transfer of schemes/funds
~transfer into or out of Guaranteed Funds 0 0 0
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21 CG - Disclosure of Conflict of Interest 0 0 0

22 CG - Prompt and Proper Accounting for Client Assets 0 0 0
23 CG - Principal Intermediaries Controls and Procedures for
Compliance 0 0 0
24 CG - Role of Responsible Officer 0 0 0

25 Conducting Regulated Activities Without Registration 0 0 0
26 Breach of Mandatory Provident Fund Schemes Ordinance,
Mandatory Provident Fund Schemes (General) Regulation or Other
MPF regulations, codes or guidelines (other than those mentioned in
categories 1 to 25; please specify the relevant section or paragraph 0 0 0
in the "Remarks" sheet)
27 Service Quality and Attitude 0 0 0

28 Others (please specify the details in the "Remarks" sheet)
0 0 0
Total: 0 0 0
(ii) By actual number of complaints

(a) No. of complaints received during this reporting quarter (b) No. of complaints since 1 November 2012
0
(iii) Cases referred by trustee(s)

1(a) No. of cases referred by trustee(s) in this reporting quarter 2(a) No. of cases referred by trustee(s) which have been registered by
which have been registered by PI as complaints and reported in Part PI as complaints since 1 November 2012
A(ii) above
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0
1(b) No. of cases referred by trustee(s) in this reporting quarter but 2(b) No. of cases referred by trustee(s) but excluded since 1
excluded according to the Exclusion Rule specified in Section 2b of November 2012 according to the Exclusion Rule specified in Section
the Explanatory Notes 2b of the Explanatory Notes
Total 0 0
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20170628 v1.2
es to be submitted by Principal Intermediary
(4) Action Taken

(For All Complaints Received Since 1 November 2012)
l no. of Active complaints Total no. of Closed complaints
Under
Investigation Allegation Allegation Withdrawn by
(＞2 mths) Substantiated Unsubstantiated Non-Pursuable Complainant
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
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0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
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0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
November 2012
0
ch have been registered by
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0
excluded since 1
n Rule specified in Section
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Mandatory Provident Fund Schemes Authority [Quarterly_Complaint_Return_2018Q3.xlsxile]
Quarterly Return on Com
Part B
Complaint Register Summary
(1) Complaint
Received Date by PI (2) PI's Internal Case Ref.
No. (dd-mm-yyyy) No. (3) Source(s) of Complaint
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Quarterly Return on Complaints against MPF Intermediaries to be submitted by Principal Interme
(6) Name of
(4) Complaint Allegation Categories (5) Name of Complainant Intermediaries Involved
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submitted by Principal Intermediary
(7) MPF Registration

Number of (9) Incident Date (10) Case Status
Intermediaries Involved (8) Related Schemes (dd-mm-yyyy) (Active / Closed) (11) Investigation Result
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(12) Date of case closure

(dd-mm-yyyy)
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04/04/2000
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Quarterly Return on Complaints agai
Remarks
(3) Source(s) of Complaint

No. (Others)
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Quarterly Return on Complaints against MPF Intermediaries to be sub
mary
(4) Complaint Allegation
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Quarterly Return on Complaints against MPF Intermediaries to be submitted by

Principal Intermediary
Part C
NIL Return Confirmation
X *This is to confirm that no complaint has been received and no update in status of existing cases for the
reporting quarter.
Reporting Year : 2018

Reporting Quarter : Q4
* Please tick if applicable
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Quarterly Return on Complaints against MPF Intermediaries received by

Principal Intermediary
Part D
Information of Contact Person
Name of PI : MCG Private Wealth Limited
Registration no. of PI : IC000995
Contact Person : Stephen Wong
Position : Chief Executive
Direct line : 97315281
Fax no. : 30070678
Email address : stephen.wong@mcgprivatewealth.net
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Completion date of this Return : 15 January 2019
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Categories of Complaints against MPF Intermediaries
Complaint Allegation Categories
1 Conduct Guidelines ("CG") - Accurate Representations
2 CG - Advertising and Marketing Material
3 CG - Rebates, Gifts and Incentives
4 CG - Best Interests of the Client
5 CG - Confidentiality of Client Information
6 CG - Handling of Client Complaints
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6 CG - Handling of Client Complaints
7 CG - Understanding of MPF System, Relevant Concepts and Products

(including Promoted Registered Schemes and Constituent Funds)
8 CG - Keeping Record of Orders
9 CG - Prompt Execution
10 CG - Care for Clients with Special Needs
11 CG - Adequate Training, Skills and Knowledge
12 CG - Know Your Client
13 CG - Suitability Assessment
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14 CG - Lack of Necessary Information
15 CG - Risk Matching

~Principal Intermediary
~Subsidiary Intermediary

~monetary and non-monetary benefits of intermediaries
~fees and charges
18 CG - Documentation on information provided about Principal / Subsidiary

Intermediaries / Monetary and Non-monetary Benefits of Intermediaries
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19
~scheme/fund
~investment performance

~transfer of schemes/funds
~transfer into or out of Guaranteed Funds
21 CG - Disclosure of Conflict of Interest
22 CG - Prompt and Proper Accounting for Client Assets
23 CG - Principal Intermediary Controls and Procedures for Compliance
24 CG - Role of Responsible Officer
25 Conducting Regulated Activities Without Registration
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26 Breach of Mandatory Provident Fund Schemes Ordinance, Mandatory

Provident Fund Schemes (General) Regulation or Other MPF regulations, codes
or guidelines (other than those mentioned in categories 1 to 25; please specify
the relevant section or paragraph in the "Remarks" sheet)
27 Service Quality and Attitude
28 Others (please specify the details in the "Remarks" sheet)
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Annex 1
Relevant sections or paragraphs of Mandatory Provident

Fund Schemes Ordinance (“MPFSO”) or Guidelines on
Conduct Requirements for Registered Intermediaries
(“Conduct Guidelines ”)
l MPFSO S.34ZL(1)(a)
l Conduct Guidelines III.2 - 3
l Conduct Guidelines III.8
l MPFSO S.34ZL(1)(a), S.34ZL(3) and S.34ZL(4)
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l Conduct Guidelines III.11 and III.61
l MPFSO S.34ZL(1)(b)
l Conduct Guidelines III.12 -15
l MPFSO S.34ZL(1)(c)
l MPFSO S.34ZL(1)(d)
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l MPFSO S.34ZL(1)(e)
l Conduct Guidelines III.31, III.35, III.50 - 52
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l Conduct Guidelines III.31, III.37 - 42
l Conduct Guidelines III.31, III.43 - 49
l MPFSO S.34ZL(1)(f)
l MPFSO S.34ZL(1)(g)
l MPFSO S.34ZL(3) and S.34ZL(4)

l MPFSO S.34ZM
l MPFSO S.34L and S.34M
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Mandatory Provident Fund Schemes Authority SAMPLE
Quarterly Return on Complaints against M
Part B
No. (1) Complaint

Received Date by
PI (2) PI's Internal Case (3) Source(s) of
(dd-mm-yyyy) Ref. No. Complaint (4) Complaint Allegation Categories
1 03/11/2012 C00000001 Referred by trustee (3) CG - Rebates, Gifts and Incentives
(9) CG - Prompt Execution
(10) CG - Care for Clients with Special Needs
(13) CG - Suitability Assessment
(1) Conduct Guideline ("CG") - Accurate
2 19/11/2012 C00000002 Referred by FR
Representations
(4) CG - Best Interests of the Client
3 28/11/2012 C00000003 Referred by media (9) CG - Prompt Execution
(10) CG - Care for Clients with Special Needs
4 01/12/2012 C00000004 Referred by trustee (13) CG - Suitability Assessment
Referred by media (15) CG - Risk Matching
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(26) Breach of Mandatory Provident Fund Schemes

Ordinance, Mandatory Provident Fund Schemes
Others (please specify in (General) Regulation or Other MPF regulations, codes
5 25/04/2017 C00000005
the "Remarks" sheet) or guidelines (other than those mentioned in
categories 1 to 25; please specify the specific section
or paragraph in the "Remarks" sheet)
Others (please specify in

6 26/04/2017 C00000006 (28) Others (please specify in the "Remarks" sheet)
the "Remarks" sheet)
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n on Complaints against MPF Intermediaries to be submitted by Principal Intermediary
(7) MPF Registration (10) Case Status

(6) Name of Number of (9) Incident Date
(5) Name of Complainant Intermediaries Involved Intermediaries Involved (8) Related Schemes (dd-mm-yyyy) (Active / Closed)
YUNG Mei Mei CHAN Tai Man 012345 MT00099 01/11/2012 Closed
LEE See See 012346 MT00044
CHAN Tin LEE Siu Ming 012347 MT00888 06/11/2012 Closed
-NA- LAM Fun Yee 012348 MT00111 14/11/2012 Active

WONG Ching Ching 012349 MT00112
HUNG Da Da HO Ying Yi 012340 MT00055 22/11/2012 Closed

MT00054
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CHAN Tai Man HO Mei Chi 012342 MT00056 22/04/2017 Active
CHAN Siu Man HO Pui Chi 012343 MT00058 24/04/2017 Closed
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Annex 2
(12) Date of case

closure
(11) Investigation Result (dd-mm-yyyy)
Allegation Substantiated 12/27/2012
Allegation Substantiated
Withdrawn by complainant
Non-pursuable 11/30/2012
Non-pursuable
Allegation Unsubstantiated 12/20/2012

Allegation Unsubstantiated
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Allegation Substantiated
Allegation Unsubstantiated 4/30/2017
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Quarterly Complaint Return 2018Q4

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Quarterly Complaint Return 2018Q4

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此文件從 Numbers 輸出。已將每個表格轉換為不同的 Excel 工作表。每個 Numbers 工作表上的所有其

他物件將放置在不同的工作表上。請注意，公式計算可能與 Excel 不同。

Numbers 工作表名稱 Numbers 表格名稱

Explanatory Notes (p1)

Explanatory Notes (p2)

Explanatory Notes for Quarterly Return on Complaints against MPF Intermediaries

2. Definition of Complaints for the purpose of this return

Part A(i) : Statistics by allegation categories

Definition of "Allegation unsubstantiated" & "Non-Pursuable":

(3) CG - Rebates, Gifts and

(1) CG - Accurate Representations,

(9) CG - Prompt Execution,

(13) CG - Suitability Assessment,

Mandatory Provident Fund Schemes Authority

ections or paragraphs of MPFSO or Conduct Guidelines.

e allegations after investigation by PI;

uarter and cumulative since 1 November 2012 respectively.

Source(s) of For column 2 of Part A (i), the statistics shall be

No. of complaint allegation categories:

(1) CG - Accurate Representations : 1

Trustee & media

ding to their respective complaint allegation categories at column (4).

ntiated; iii)Non-pursuable; iv)Withdrawn by complainant

nt categories in this column.

) excluded according to the Exclusion Rule

in the table until annual clean up

received from different sources or there

er columns (3), (6), (7), (8) or can be made

one cell for each allegation. If category

se specify the details in the "Remarks"

Parts C and D only.

Quarterly Return on Complaints against MPF Intermediaries to be submitted by Pri

(For All Compla

Total no. of Active complaints

(1) Complaint Allegation Categories

8 CG - Keeping Record of Orders 0 0 0

10 CG - Care for Clients with Special Needs 0 0 0

17 CG - Disclosure of Necessary Information to the Client regarding:

18 CG - Documentation on information provided about Principal /

19 CG - Disclosure of Necessary Information to the Client regarding:

20 CG - Disclosure of Necessary Information to the Client regarding:

21 CG - Disclosure of Conflict of Interest 0 0 0

24 CG - Role of Responsible Officer 0 0 0

27 Service Quality and Attitude 0 0 0

(ii) By actual number of complaints

(iii) Cases referred by trustee(s)

es to be submitted by Principal Intermediary

(4) Action Taken

l no. of Active complaints Total no. of Closed complaints

ch have been registered by

Quarterly Return on Com

Complaint Register Summary

Quarterly Return on Complaints against MPF Intermediaries to be submitted by Principal Interme

submitted by Principal Intermediary

(7) MPF Registration

(12) Date of case closure

Quarterly Return on Complaints agai

Complaint Register Summary

(3) Source(s) of Complaint

Quarterly Return on Complaints against MPF Intermediaries to be sub

(4) Complaint Allegation

Quarterly Return on Complaints against MPF Intermediaries to be submitted by

NIL Return Confirmation