receiving complaints of investors
- Taking the complaint procedures immediately upon arrival by the inspection department.
- The complaint needsat least five working days until it is received and replied.
- Required Documents
- Persons benefiting from the service
- Related Services
A service of receiving complaints of investors regarding trading at the ASE
Conditions for obtaining service- the investor submitting his complaint in writing form through approved approaches by either personally attending or submitting the complaint via various means of communication adopted. - Submitting the identification of the complainant or his representative under the legal agency. - Filing the complaint at the Diwan Office to conduct its proceedings duly.
- - The relevant employee allows the complainant go to the Diwan Office at the Administrative and Financial Department, for receiving the complaint from the investor formally.
- - The Diwan Office, in turn, is responsible for sending the complaint to the CEO or his Deputy to convert it then to the Surveillance and Inspection Department to be duly followed-up.
- - The Inspection Department in turn issues a letter to the Broker, whom the investor was filing a complaint against.
- - The letter is signed up by the CEO or his Deputy to have an official feature.
- - Sending the letter to the concerned broker to reply in his turn on the complaint within a maximum of three days, so that the concerned Broker can formulate his response during this period, and then providing the ASE with all documents supporting his point of view.
- - The department will study the concerned Broker response and considering the investor complaint at the same time.
- - The department sometimes visits the Brokerage firm to be sure of its documents, data, written authorizations, and audio recordings, if possible, especially which are concerning to the complainant investor, in order to investigate the truth and try to find a solution to the problem according to the rules and regulations in force.
- - The concerned complainant will be contacted and informed by the outcome of the investigation into the complaint, whether the result of his complaint is incorrect when the Broker can prove the opposite, or that of his complaint is correct. And in this case, it is written for the Broker to solve the investor complaint in accordance with regulations and instructions in force and let the Department know about it.
- - In case of a solution can not be reached between the complainant and the relevant Broker, the whole subject is transformed to the JSC in order to take such appropriate provisions in this area.
- Filling out an adopted complaint form duly.
- An identification Document which is the identity for the Jordanian and a passport for the Non-Jordanian.
- Legal agency in case of the person, who provides the complaint, acting on behalf of the original investor.
- Any necessary documents to support the substance of the complaint, including account statements or deal agreement or written authorizations or bills.
Persons benefiting from the serviceInvestors
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