FDRC 2018 Annual Report

Financial Dispute Resolution Centre 金融糾紛調解中心 28 Dispute Resolution Services 排解爭議服務 CASES 個案 For the year ended 31 December 2018, the FDRC received 15 applications for services under the FDRS. 截至 2018 年 12 月 31 日止的年度內，調解中心共接獲 15 宗調解計劃服務申請。 Composition of Application (8) 申請個案類別 Operational Issues (Omissions, Negligence and Maladministration) 運作事宜 （遺漏，疏忽及行政失當） Mis-selling (Omissions) 不當銷售（遺漏） Misrepresentation (Investment Performance, Administrative Matters and Product Nature) 失實陳述 （投資表現、行政事宜 及產品特性） 33.3% 53.3% 13.3% (8) Only cases received within 2018 were counted. The total percentage does not add up to 100% due to rounding. 只計算在 2018 年內所收到的個案。由於四捨五入，總百分比不等於 100% 。 Case Status as at 31 December 2018 在 2018 年 12 月 31 日的個案情況 Cases received within 2018 • Among the 15 applications, 10 were accepted, 3 were rejected as not being within the Intake Criteria of the ToR in force at the time, none was under vetting and 2 were withdrawn during vetting. • Among the 10 cases accepted, 5 were completed and closed after went through the mediation process, whilst that for the remaining 5 cases was still ongoing. • Among the 5 completed and closed cases, 4 were settled at different stages of the mediation process and 1 was not settled in mediation (This 1 case was closed as the claimant did not proceed to arbitration). • To conclude the mediation case status in 2018, 4 out of the 5 completed and closed cases reached settlement. The success rate was 80%. Cases brought forward from previous years In addition to the above mentioned 15 applications received, 11 applications received in previous years were carried forward to 2018, 3 of which were rejected as not being within the Intake Criteria of the ToR in force at the time. The remaining 8 applications entered into the dispute resolution process, 5 of which were completed and closed in mediation process and 3 proceeded to arbitration. Arbitral Awards were rendered in all of the 3 cases proceeded to arbitration. 2018 年收到的個案 • 在 15 宗申請中， 10 宗申請獲接納， 3 宗因 不符合當時適用的《 職權範圍 》中的《 個 案受理準則 》而被拒絕，沒有申請在審核 中及 2 宗在審核中撤回申請。 • 獲接納的 10 宗申請中， 5 宗已完成調解程 序並且已結案，餘下 5 宗個案的程序正在進 行中。 • 在 5 宗已結案的個案中， 4 宗都分別於不同 的調解階段達成和解，而未能和解的個案 則有 1 宗（ 這 1 宗個案因有關申索人沒有選 擇仲裁而結案 ）。 • 總結 2018 年的調解個案情况，共 5 宗已完 成並結案，其中 4 宗達成和解，成功率為 80% 。 由往年轉入的個案 除上述 15 宗接獲的申請外，有 11 宗在往年接獲的 申請轉入至 2018 年，其中 3 宗因不符合當時適用 的《 職權範圍 》的《 個案受理準則 》而被拒絕， 其餘 8 宗進入了排解爭議程序，其中 5 宗已於調解 程序結案， 3 宗進入仲裁程序。進入仲裁程序的 3 宗個案全部已作出《 仲裁裁決 》。