Entire Section

  • Complaints involving other Authorised Firms or Regulated Financial Institutions

    • GEN 9.2.9

      If an Authorised Firm considers that another Authorised Firm or a Regulated Financial Institution is entirely or partly responsible for the subject matter of a Complaint, it may refer the Complaint, or the relevant part of it, to the other Authorised Firm or Regulated Financial Institution in accordance with Rule 9.2.10.

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

    • GEN 9.2.10 GEN 9.2.10

      To refer a Complaint, an Authorised Firm must:

      (a) inform the complainant promptly and in writing that it would like to refer the Complaint, either entirely or in part, to another Authorised Firm or Regulated Financial Institution, and obtain the written consent of the complainant to do so;
      (b) if the complainant consents to the referral of the Complaint, refer the Complaint to the other Authorised Firm or Regulated Financial Institution promptly and in writing;
      (c) inform the complainant promptly and in writing that the Complaint has been referred and include adequate contact details of any individual at the other Authorised Firm or Regulated Financial Institution responsible for handling the Complaint; and
      (d) continue to deal with any part of the Complaint not referred to the other Authorised Firm or Regulated Financial Institution, in accordance with this chapter.

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

      • GEN 9.2.10 Guidance

        The referral of a Complaint may involve the transfer of Personal Data, as defined under the Data Protection Law 2007, DIFC Law No 1 of 2007. In this respect, an Authorised Firm should consider its obligations under the Data Protection Law 2007.

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