PDF《金融纠纷》

1 Established as a non-profit making company limited by guarantee with seed funding from the Government of the Hong Kong Special Administrative Region ( Government ), the Hong Kong Monetary Authority ( HKMA ) and the Securities and Futures Commission ( SFC ), the Financial Dispute Resolution Centre ( FDRC ) commenced its operation on

19 June 2012.

It administers in an independent and impartial manner a Financial Dispute Resolution Scheme ( FDRS ), which provides an effective and cost- efficient channel for financial institutions and their individual customers to resolve their monetary disputes by way of Mediation First, Arbitration Next . Together with other stakeholders, the FDRC is committed to providing an amicable environment for Hong Kong as an international financial centre. 金融纠纷调解中心(「调解中心」)是一间由香港 特别行政区政府(「政府」)、香港金融管理局( 「金管局」)和证券及期货事务监察委员会(「证 监会」)出资成立的非牟利担保有限公司,於2012 年6月19日投入服务.调解中心独立持平地管理一 个金融纠纷调解计划(「调解计划」),以「先调 解,后仲裁」方式,为金融机构及其个人客户提供 一个有效及具成本效益的渠道以解决其金钱争议. 调解中心与各持份者致力为香港缔造一个融和的市 场环境,以巩固香港作为国际金融中心的地位. ABOUTFDRC 金融纠纷 ANNUAL REPORT

2 0

1 6 二零一六年度报告About FDRC 金融纠纷调解中心 Formation of FDRC 金融纠纷调解中心的成立 Financial Dispute Resolution Scheme 金融纠纷调解计划 Mission and Vision 使命及抱负 The Guiding Principles 原则 Chairman'

s Message 主席的话 Chief Executive Officer'

s Report 行政总裁报告 The Board of Directors 董事局 The Appointment Committee 遴选委员会 The Disciplinary Committee 纪律委员会 The Disciplinary Tribunal 纪律审裁组 The Year at a Glance 全年回顾 Consultation on Service Enhancements 优化服务的谘询 Satisfaction Survey 满意度调查 Compliments 嘉许 Dispute Resolution Services 排解争议服务 Enquiries 查询 Complaints 投诉 Cases 个案 Publicity 推广 Promotion to the Public 大众宣传 Stakeholder Engagement 持份者联系 Training and Workshops 培训及工作坊 Financial Statements 财务报告

1 2

3 5

6 7

9 11

14 17

20 23

25 26

27 28

30 32

33 36

38 39 CONTENTS 目录 ANNUAL REPORT

2 0

1 6 调解计划 ANNUAL REPORT

2 0

1 6 ANNUAL REPORT

2 0

1 6

5 To provide independent and impartial Mediation First, Arbitration Next processes of dispute resolution to facilitate the resolution of monetary disputes between financial institutions and individual customers in Hong Kong. To be the leading provider of financial dispute resolution processes to deal with differences between financial institutions and their customers constructively before they escalate and to support Hong Kong as an international financial centre by extending our services and engaging stakeholders of the financial industry. 提供独立及不偏不倚的「先调解,后仲裁」争议解决程序,协助香港的金融机构及其个人客户解决他们之间的金钱争议.致力成为香港提供解决金融业相关争议服务的领导者,以具建设性的方法处理金融机构与其客户之间的金钱争议,避免争议升温,并透过扩大我们服务的围及联系金融业界的持份者,一起巩固香港的国际金融中心地位.MISSION 使命 VISION 抱负 ANNUAL REPORT