Complaint Form In relation to MPF Intermediaries and/or persons

 Complaint Form
In relation to MPF Intermediaries and/or
persons suspected of carrying on regulated activities without MPF Intermediary Registration
Important Notes
Before you submit a complaint, please read our leaflet “Learn More About MPF Intermediaries”.
You are also advised to read the attached “Personal Information Collection Statement for Complaints” regarding your rights
and obligations in relation to personal data and the manner in which the MPFA may use or deal with such data.
If you want to lodge a complaint against (1) an MPF intermediary for non-compliance with the performance requirements
and/or (2) a person for carrying on regulated activities 1 without MPF Intermediary Registration, please complete this
Complaint Form by providing the relevant information and signing it. The Complaint Form and supporting documents (if any)
can be submitted by:

Post:


E-mail:
Fax:
In person:

Level 8, Tower 1, Kowloon Commerce Centre, 51 Kwai Cheong Road,
Kwai Chung, New Territories #
[email protected]
2259 8806
MPFA offices
Please note that the MPFA –
․ Does not have the power to order compensation ;
․ Cannot intervene the commercial decisions of MPF intermediaries ; and
․ Cannot handle service quality or attitude issues of MPF intermediaries falling outside the regulatory scope of the
Mandatory Provident Fund Schemes Ordinance and having no disciplinary or enforcement implications.
Please complete this form (total 7 pages) to the best of your knowledge.
#
The MPFA will not accept underpaid mail which will be returned to the sender or disposed of by the Hongkong Post. Please affix sufficient postage.
I.
Your personal details
Last name:
(Mr./Mrs./Ms.*)
Correspondence
address:
Telephone no.:
First name:
HKID no. /
Passport no.:
Office:
Mobile:
E-mail
address:
*Please delete as appropriate
II.
The principal intermediary2 involved in the complaint (if known)
Name of Principal
Intermediary:
Name of Trustee (if
known):
Relevant MPF Scheme
(if known):
Relevant Constituent
Fund(s) (if known):
Relevant MPF account
no. (if known):
1
2
A person carries on regulated activity if the person invites or induces, or attempts to invite or induce, another person to make a material decision or gives
regulated advice.
Principal intermediaries are corporations registered with the MPFA as an intermediary to carry on regulated activities.
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III. The subsidiary intermediary3 involved in the complaint
Full name:
(Mr./Mrs./Ms.*)
Job title (if known):
MPF
Intermediary
Registration No.
(if known):
IV. Carrying on regulated activities without MPF Intermediary Registration (if applicable)
If you suspect the company or person that you are dealing with is not registered with the MPFA, please provide the following information.
Name of the company:
Address:
Telephone no.:
Email address:
Company website:
Name of person who
contacted you and
his/her contact details:
(Mr./Mrs./Ms.*)
Office No.:
Mobile No.:
Email address:
V.
Details of the complaint and relevant events
Please give full details of your allegations and the relevant events with dates, places, and persons involved in chronological order.
If you need more space, please continue on a separate piece of paper and attach it to this form.
3
Subsidiary intermediaries refer to persons who are registered with the MPFA and employed or engaged by principal intermediaries to carry on regulated
activities for them.
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VI. List of documents in support of your complaint (if any)
1.
2.
3.
4.
5.
6.
7.
8.
VII. Actions you have taken
1.

Have you lodged a complaint with the company or principal intermediary involved?
Yes, please specify:
Date of complaint:
Name of contact person:
Phone no.:

No
2.
Have you reported the complaint to another organization?
(e.g. the Hong Kong Monetary Authority, the Securities and Futures Commission, the Insurance Authority, MPF trustee,
MPF scheme administrator, etc.)

Yes, please specify:
Date of complaint:
Name of the regulator / organization:
Name of contact person(if any):

Phone no.:
No
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VIII. Consent/authorization to disclose personal data and other information
I,
1.
(name of the complainant), hereby
confirm that I have read the Personal Information Collection Statement for Complaints (“PICS”) attached.
I understand my rights and obligations in relation to personal data collected or held by the Mandatory
Provident Fund Schemes Authority (“MPFA”). I agree to the manner in which the MPFA may use,
disclose, transfer or deal with the data as set out in the PICS and also give consent to the MPFA to use,
disclose, transfer or deal with all other information relating to my complaint collected or held by the
MPFA in similar manner. In particular, I understand that the MPFA may contact the target company or
person concerned, the frontline/industry regulators concerned, i.e. the Insurance Authority (“IA”), the
Monetary Authority (“MA”) or the Securities and Futures Commission (“SFC”), or other organization
with which I have lodged a similar or related complaint to collect further information, and I authorize the
MPFA to disclose my personal data and all other information relating to my complaint to these parties.
2.
understand the MPFA may refer my complaint to the frontline/industry regulator concerned (i.e. the IA,
MA or SFC) for supervision or investigation, or where appropriate, nominate an industry regulator to
assist the MPFA in the investigation, and agree to the MPFA making such referral or nomination.
3.
understand it is voluntary for me to supply to the MPFA and/or the frontline/industry regulator concerned
the relevant information and personal data.
If the information or personal data provided are not accurate
or complete, the MPFA, the frontline/industry regulator concerned and the law enforcement agencies or
government departments concerned may be unable to fully investigate my complaint and the conduct or
outcome of the investigation and any enforcement or disciplinary action, prosecution or review may be
affected.
4.
give consent to the company or principal intermediary or organization(s) to which I have reported a
similar or related complaint to disclose or release any information (including my personal data) relating to
the complaint to the MPFA or the frontline/industry regulator concerned and hereby authorize the MPFA
or the frontline/industry regulator concerned to request such disclosure or release.
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5.
give consent to the frontline/industry regulator concerned to disclose or release any information
(including my personal data) relating to my complaint (including those provided by me or collected by
them during inspection or investigation) to the MPFA for the purpose of performing or exercising the
MPFA’s functions (including taking enforcement or disciplinary actions) and hereby authorize the MPFA
to request such disclosure or release.
6.
give consent to the MPFA disclosing or transferring any information (including my personal data) relating
to my complaint to any panel or committee established by the Chief Executive or the Financial Secretary
for the purpose of reviewing or advising on procedural or policy matters in relation to the performance or
exercising of the MPFA’s functions.
Signature of Complainant*
Name of Complainant
Date
*We may not be able to process your complaint without your signature to indicate your consent to release your personal data and other information.
Further Important Note on Disclosure of Information
Under certain statutory circumstances, for example, if the MPFA is of the opinion that disclosure of information to
the IA, MA or SFC (as the case may be) will assist the regulator concerned to perform its functions under the
Mandatory Provident Fund Schemes Ordinance (“MPFSO”), the MPFA shall not be prevented to make such
disclosure under the MPFSO, whether or not a complainant gives consent.
Where personal data is used,
disclosed or transferred for certain purposes relating to law enforcement and regulation, and the application of
data protection principle 3 or 6 (use of personal data or access to personal data) of the Personal Data (Privacy)
Ordinance (“PDPO”) will likely prejudice any of those purposes, the MPFA is exempted from the application of
data protection principle 3 or 6 by virtue of section 58 of the PDPO.
purposes, whether or not the data subject concerned gives consent.
Personal data can be used for such
Such purposes include the prevention or
detection of crime; the apprehension, prosecution or detention of offenders; the prevention, preclusion or
remedying (including punishment) of unlawful or seriously improper conduct, or dishonesty or malpractice;
ascertaining whether the character or activities of the data subject are likely to have a significantly adverse impact
on anything to which the discharge of statutory functions by the data user relates; etc.
MPFA Telephone Enquiry Hotline:
2918 0102
Mandatory Provident Fund Schemes Authority
Version – September 2016
(September 2016)
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MANDATORY PROVIDENT FUND SCHEMES AUTHORITY
“Personal Information Collection Statement for Complaints”
(Lodging of Complaints)
This Personal Information Collection Statement for Complaints (“PICS”) is made in accordance with the
Personal Data (Privacy) Ordinance (“PDPO”). You are advised to read the following regarding your rights
and obligations in relation to your personal data (as defined in the PDPO) and the manner in which the
MPFA may use or deal with such data for the purposes specified below.
Personal data submitted in making a complaint to the Mandatory Provident Fund Schemes Authority
(“MPFA”) are for the purposes of investigating your complaint, supervising and monitoring compliance
of the Mandatory Provident Fund Schemes Ordinance, taking enforcement and disciplinary actions, and
exercising the MPFA’s and the frontline/industry regulators’ statutory functions.
The personal data will be used, disclosed or transferred to third parties for the aforesaid purposes or any
directly related purposes, or in accordance with an order of a court or a law or a requirement made under
a law, or pursuant to any regulatory or investigatory assistance arrangements between the MPFA and
other regulators or law enforcement agents, or where permitted by law. The classes of persons to whom
your personal data may be transferred may include parties who will be contacted by the MPFA during the
handling of the complaint including the following parties:
Types of Complaints
Complaint against employer (MPF)
Personal Data May be Transferred To
Your employer, the MPF trustee and service
provider concerned and government departments
such as the Labour Department.
Complaint against MPF trustee
The MPF trustee and service provider concerned.
Complaint against employer (ORSO)
Your employer, the ORSO administrator
concerned and government departments such as
the Labour Department.
Complaint against ORSO administrator
Your employer and the ORSO administrator
concerned.
Complaint against MPF intermediary
The MPF principal and subsidiary intermediaries
concerned, the MPF trustee and service provider
concerned, the frontline/industry regulators
concerned including the Insurance Authority, the
Monetary Authority and the Securities and
Futures Commission.
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Complaint against a person carrying on
regulated
activities
without
MPF
Intermediary Registration or holding
himself/herself/itself out as carrying on
regulated activities without registration or
taking or using certain titles
The person being complained against, his/her/its
employer/principal/related companies, the MPF
trustee and service provider concerned, the
ORSO administrator concerned, the industry
regulators concerned (including the Insurance
Authority, the Monetary Authority and the
Securities and Futures Commission), and any of
the professional bodies concerned (including the
Law Society of Hong Kong, the Hong Kong Bar
Association, and the Hong Kong Institute of
Certified Public Accountants).
The personal data provided may also be disclosed or transferred to the company or organization(s) with
which the complainant has lodged a similar or related complaint, the Mandatory Provident Fund Scheme
Appeal Board, relevant courts, panels, tribunals and committees, law enforcement agencies, government
departments (such as the Police and the Department of Justice), or regulatory bodies who are authorized
to receive information relating to law enforcement, prosecution or review of decisions.
If you are unable to provide the requisite personal data or if the data provided is inaccurate or incomplete,
the MPFA, the frontline/industry regulator concerned and the law enforcement agencies or government
departments or regulatory bodies concerned may be unable to fully investigate your complaint and the
conduct or outcome of the investigation and any enforcement or disciplinary action, prosecution or review
may be affected.
You are entitled under the Personal Data (Privacy) Ordinance to ascertain whether the MPFA holds
personal data relating to you, and to request access to or to request the correction of any personal data
relating to you held by the MPFA, in the manner and subject to the limitations prescribed therein. All
enquiries should be directed in writing to the Personal Data Privacy Officer of the Mandatory Provident
Fund Schemes Authority.
Mandatory Provident Fund Schemes Authority
February 2016
Version – September 2016
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