Entire Section

  • Employees handling Complaints

    • GEN 9.2.7

      Where appropriate, taking into account the nature, scale and complexity of an Authorised Firm's business, an Authorised Firm must ensure that any individual handling the Complaint is not or was not involved in the conduct of the Financial Service about which the Complaint has been made, and is able to handle the Complaint in a fair and impartial manner.

      [Added] DFSA RM56/2008 (Made 1st July 2008). [VER19/07-08]

    • GEN 9.2.8

      An Authorised Firm must ensure that any individual responsible for handling the Complaint has sufficient authority to resolve the Complaint or has access to individuals with the necessary authority.

      [Added] DFSA RM56/2008 (Made 1st July 2008). [VER19/07-08]