The Complaints Handling Policy serves as a crucial governance document for organizations operating in Hong Kong, establishing standardized procedures for managing customer grievances effectively and in compliance with local regulations. This document is essential for any organization that interacts with customers or stakeholders and needs to maintain a systematic approach to handling complaints. The policy must align with Hong Kong's regulatory framework, including requirements from the HKMA, SFC, and Privacy Commissioner's office where applicable. It should be implemented when an organization needs to establish or update its complaint handling procedures, particularly in response to regulatory changes or business growth. The policy typically includes detailed procedures for receipt, investigation, and resolution of complaints, along with specific timelines, documentation requirements, and escalation protocols.
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1. Purpose and Objectives: States the policy's aims and commitment to fair complaint handling
2. Scope: Defines what constitutes a complaint and to whom the policy applies
3. Definitions: Key terms used throughout the policy including 'complaint', 'complainant', 'resolution'
4. Regulatory Framework: References to relevant Hong Kong regulations and regulatory requirements
5. Principles of Complaints Handling: Core principles including fairness, objectivity, confidentiality, and timeliness
6. Roles and Responsibilities: Defines responsibilities of staff, management, and dedicated complaints handling personnel
7. Complaints Handling Process: Step-by-step procedures from receipt to resolution of complaints
8. Timeline Requirements: Mandatory response times and handling deadlines
9. Documentation and Record Keeping: Requirements for recording and maintaining complaint records
10. Reporting Requirements: Internal and regulatory reporting procedures and frequencies
11. Review and Improvement: Process for regular policy review and continuous improvement
1. Specialized Complaint Categories: Specific procedures for different types of complaints (e.g., financial products, service quality)
2. External Dispute Resolution: Procedures for escalation to external bodies, used when organization regularly deals with regulated financial services
3. Social Media Complaints Handling: Specific procedures for managing complaints received through social media channels
4. Staff Training: Detailed training requirements and programs, important for larger organizations
5. Customer Communications: Templates and guidelines for customer communications, useful for maintaining consistency
6. Quality Assurance: Procedures for monitoring and assessing complaints handling quality
1. Complaint Form Template: Standard form for recording complaint details
2. Complaint Register Format: Template for maintaining the complaints register
3. Response Timeline Matrix: Matrix showing required response times for different types of complaints
4. Escalation Matrix: Hierarchy and contact details for complaint escalation
5. Regulatory Reporting Templates: Standard formats for reporting to regulatory bodies
6. Customer Communication Templates: Standard templates for acknowledging, updating, and resolving complaints
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