The CSRC will build a 12386 service platform to receive four types of appeals from investors

2022-08-11

According to the news released on the website of the CSRC on August 10, the CSRC will optimize and upgrade the "12386" service hotline of the CSRC in the near future, build a 12386 network platform (the specific online operation time will be notified), and form a 12386 service platform with the 12386 hotline to receive investors' demands and provide services for investors. While promoting the optimization and upgrading of the hotline, the CSRC revised the original announcement on matters related to the operation of the "12386" service hotline of the CSRC (CSRC announcement [2018] No. 32), and formed the announcement on matters related to the operation of the 12386 service platform of the CSRC (Draft for comments) (hereinafter referred to as the announcement), which was open to the public for comments from August 10. According to the announcement, the 12386 service platform mainly receives complaints, reports, consultations, opinions and suggestions. In addition, the announcement improved the level of appeal processing by strengthening the protection of investors' identity information. There are 19 articles in the announcement, which expands and enriches the form and functions of the 12386 service platform on the basis of maintaining the general framework of the original announcement on matters related to the operation of the 12386 service hotline of the CSRC. This revision mainly involves the following four aspects: the announcement specifies that the CSRC will set up a 12386 service platform as a channel to receive investors' demands, which includes the 12386 hotline and its network platform. Investors can put forward their demands through telephone, Internet and other means, and query the demand processing information through the 12386 service platform to facilitate investors to understand the demand processing progress in a timely manner. According to the announcement, the 12386 service platform is a channel to receive the demands of investors, a receiving platform and a transfer platform for the demands of investors. The orientation of 12386 service platform's handling of investors' demands is to stand firmly on the people's position of capital market supervision, handle the reasonable demands of investors according to law, protect the legitimate rights and interests of investors, and promote the high-quality development of the capital market. The announcement clarifies the classification of investors' demands. First, the 12386 service platform receives complaints, reports, consultations, opinions and suggestions. Secondly, the platform handles the demand categories selected by investors. In addition, the complaint shall be handled by the operating entity of the securities and futures market, or the mediation service shall be provided by the mediation organization of the securities and futures market; The report shall be transferred to relevant departments, local offices, trading places, industry associations and other units of the CSRC for handling. The announcement also strengthened the requirements for the handling of investors' appeals, further compacted the primary responsibility of the securities and futures market operators for handling complaints, and improved the level of handling appeals. Specifically, it includes strengthening the protection of the identity information of investors, establishing a return visit mechanism, and the CSRC and its dispatched offices incorporate the handling of complaints of the operating entities of the securities and futures market into the daily supervision work as an important content to measure the level of compliance management. It is reported that in the next step, the CSRC will further revise and improve the announcement and perform relevant procedures according to the public solicitation of opinions, and issue and implement the announcement after the optimization and upgrading of the hotline is completed. (reporter Liang Yin

Edit:Wei Li Bin    Responsible editor:Yin Bing

Source:Shanghai Securities News

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