The reporter learned that the regulation recently issued a brokerage firm's handling of complaints in the third quarter. In the first three quarters of this year, brokerage firms received a total of 25,919 complaints from customers, including a total of 4,355 complaints about commission adjustments and taxes. The complaint situation has cooled down from quarter to quarter, but it is still the main issue of complaints. Judging from the claims, complaints in the second quarter mainly involved failure to process commission adjustment applications in a timely manner, tax collection standards were not transparent, and commission rate disputes; commission disputes in the third quarter were mainly related to historical causes. Early commission rate standards for some established sales department customers were relatively high, and investors felt strong resistance after comparison with peers; there were also investors who measured early account opening rates based on current market commission levels, requiring institutions to actively lower and retroactively refund differences. Such claims exceeded the space for compliance adjustments, making communication and reassurance difficult. Furthermore, the credit account commission rate issue has become a new growing point of complaints. Individual investors have signed commission adjustment agreements but the system has not been set up in a timely manner, causing “promises not fulfilled” disputes.

The reporter learned that the regulation recently issued a brokerage firm's handling of complaints in the third quarter. In the first three quarters of this year, brokerage firms received a total of 25,919 complaints from customers, including a total of 4,355 complaints about commission adjustments and taxes. The complaint situation has cooled down from quarter to quarter, but it is still the main issue of complaints. Judging from the claims, complaints in the second quarter mainly involved failure to process commission adjustment applications in a timely manner, tax collection standards were not transparent, and commission rate disputes; commission disputes in the third quarter were mainly related to historical causes. Early commission rate standards for some established sales department customers were relatively high, and investors were strongly resistant after comparison with peers; there were also investors who measured early account opening rates based on current market commission levels, requiring institutions to actively lower and retroactively refund differences. Such claims exceeded the space for compliance adjustments and made it difficult to communicate and appease them. Furthermore, the credit account commission rate issue has become a new growing point of complaints. Individual investors have signed commission adjustment agreements but the system has not been set up in a timely manner, causing “promises not fulfilled” disputes.