Entire Section

  • Retention of records

    • GEN 9.2.12

      An Authorised Firm must maintain a record of all Complaints made against it for a minimum period of six years from the date of receipt of a Complaint.

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

    • GEN 9.2.13

      This record must contain the name of the complainant, the substance of the Complaint, a record of the Authorised Firm's response, and any other relevant correspondence or records, and the action taken by the Authorised Firm to resolve each Complaint.

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