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SFDRC-Mediation Introduction


Scope of acceptance:

1. Mediate civil disputes that result from securities, futures, funds, venture investment or other capital market businesses between natural persons, legal persons or other organizations with equal standing.

2. Provide legal advice with respect to the dispute resolution in capital markets.

3. Conduct research, training and promotion activities regarding the dispute resolution in capital markets.

 

 Who can apply for mediation?

The Resolution Centre accepts any dispute resolution application solely or jointly filed by the following entity(ies):

(1)   Investors of securities, futures, funds or equity;

(2)   Business institutions of securities, futures or funds;

(3)   Other types of entities.

What disputes can be mediated?

Any of the following disputes may be referred to the Resolution Centre for mediation:

(1) A dispute between an investor and a business institution of securities, futures or funds in respect of securities or futures brokerage, wealth management or other capital market businesses;

 

(2) A dispute arising from capital market businesses between a business institution of securities, futures or funds and its counterparty, which, whether is another business institution of securities, futures or funds or an entity falling into “other types”.

Can an investor apply for mediation unilaterally?

(1) The mediation process may be triggered upon an investor’s application for meidation under the condition that his/her counterparty, who is the member of SZSA, SZFA, or SZAMA, has promised to accept mediation conducted by the Resolution Centre.

 

(2) Otherwise, the Resolution Centre shall initiate the mediation process only after obtaining the consent to mediation from both parties.

 

 

 





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