Abuse of Complaint Officer’s Contact

A financial institution (esp. if it is serving retail customers) should have a complaint handling policy and let the public know the complaint channel. For example, a Hong Kong licensed corporation should disclose the contact details of its complaint officer in SFC’s public register. This is of course a desirable practice. However, such transparency could be abused by spammers.

I recently received a couple of emails issued by AimHigh Compliance Solutions (“AHCS”) to the email addresses of my firm’s complaint officers, promoting its whatever services.

According to its LinkedIn page, AHCS is a corporate compliance and regulatory advisory firm. Regrettably such a professional firm is acting unprofessionally by abusing the complaint officer’s contact. If compliance consulting firms are also licensed in Hong Kong, AHCS should receive a complaint. What I can do now is only to ban it from my firm’s email server.