Complaints involving other Authorised Firms or Regulated Financial Institutions
Authorised Firmconsiders that another Authorised Firmor a Regulated Financial Institutionis 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 Firmor Regulated Financial Institutionin accordance with Rule 9.2.10.
GEN 9.2.10 GEN 9.2.10
To refer a
Complaint, an Authorised Firmmust:(a) inform the complainant promptly and in writing that it would like to refer the Complaint, either entirely or in part, to another Authorised Firmor 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 Complaintto the other Authorised Firmor Regulated Financial Institutionpromptly and in writing;(c) inform the complainant promptly and in writing that the Complainthas been referred and include adequate contact details of any individual at the other Authorised Firmor Regulated Financial Institutionresponsible for handling the Complaint; and(d) continue to deal with any part of the Complaintnot referred to the other Authorised Firmor Regulated Financial Institution, in accordance with this chapter.
GEN 9.2.10 Guidance
The referral of a
Complaintmay 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 Firmshould consider its obligations under the Data Protection Law 2007.