In fulfilling our regulatory roles, we pledge to be responsive to the public, market participants and intermediaries under our supervision.
| |
|
|
|
| Commence review of application upon receipt |
2 business days |
98.3%1 |
96.9% |
99.3% |
| |
|
|
|
| Commence review of applications upon receipt |
2 business days |
100% |
100% |
100% |
Preliminary reply to applicants after commencement of
application review for investment-linked assurance schemes,
Mandatory Provident Fund pooled investment funds,
mutual funds, and unit trusts. |
7 business days |
100% |
100% |
100% |
Preliminary reply to applications after commencement of
application review for other schemes |
14 business days |
100% |
100% |
100% |
| |
|
|
|
General enquries:
Preliminary reply to public enquiries
(excluding those from investors) |
4 business days |
100% |
99.8% |
99.6% |
Investor enquiries:
Preliminary reply to telephone enquiries |
4 business days |
100% |
100% |
100% |
| Preliminary reply to written enquiries |
2 weeks |
100% |
99.5% |
99.6% |
| |
|
|
|
| Corporations |
15 weeks |
100% |
99% |
99% |
| Representatives (provisional licences) |
7 business days |
97%3 |
88% |
89% |
| Representatives (normal licences) |
8 weeks |
98%3 |
95% |
86% |
| Representatives (responsible officers) |
10 weeks |
96%3 |
97% |
95% |
| Transfer of accreditation |
7 business days |
94%3 |
81% |
73% |
| |
|
|
|
| Preliminary response to verbal & written complaints |
2 weeks |
99.2%4 |
99.3% |
99.4% |
1 Two cases failed to meet the pledge by one day due to operational issues.
2 Compliance with our performance pledges is measured in relation to applications in respect of which all of the required documentation is supplied by the applicants in a comprehensive and efficient manner and in which delays, for which we have no responsibility, do not occur.
3 Some cases failed to meet the pledges largely due to resource constraints and/or unexpected complications.
4 Due to the heavy workload, 15 cases failed to meet the pledge.
