(1) negotiation. This is the most direct, economical and usually effective solution. Generally speaking, negotiation is the first step in dealing with disputes. Disputes between investors and securities companies should be settled through consultation first. Both parties should seek an acceptable solution based on the principles of mutual understanding and seeking truth from facts.
(2) mediation. Mediation is a way for investors to submit disputes to relevant institutions, and relevant institutions help to reach a settlement agreement. Mediation can be conducted under the auspices of securities regulatory agencies, securities associations, stock exchanges or mediators recognized by both parties. After mediation and reaching an agreement on relevant issues, a mediation record or a mediation agreement may be made, which shall be signed and sealed by the parties and the mediator.
(3) complaints. If you think your legitimate rights and interests have been infringed, you can complain to the relevant departments and ask for a solution. You can complain to China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission") or its dispatched office. Stock exchanges also have the responsibility to supervise their members and listed companies. Both Shenzhen Stock Exchange and Shanghai Stock Exchange have special departments to receive complaints from securities investors.
(4) reporting. The China Securities Regulatory Commission shall set up a reporting center for securities and futures violations, which shall be responsible for receiving, examining, investigating and rewarding reports. Informants report to the Securities Regulatory Bureau of China Securities Regulatory Commission, which is responsible for the acceptance, examination and investigation of the report. Informants can report individuals or units suspected of violating securities and futures laws and administrative regulations to the China Securities Regulatory Commission and the securities regulatory bureaus in real name or anonymously through reporting columns, reporting telephone numbers, letters and visits on the Internet site of the China Securities Regulatory Commission.
(5) arbitration. Arbitration refers to a dispute settlement method in which both parties reach an agreement before or after the dispute occurs and submit the dispute to a third party (arbitration institution) for arbitration, and both parties have the obligation to consciously perform it. Arbitration adopts the one-award final system, and the arbitration award is legally binding on the parties. If it fails to perform, the other party may apply to the court for compulsory execution.
(6) litigation. Litigation, commonly known as "litigation", is to bring a lawsuit to a court with jurisdiction and seek judicial relief. The litigation judgment is authoritative and mandatory, and the parties must abide by it.