Entire Section

  • Regulatory Complaints

    • RPP 5-3-6

      Complaints received by the DFSA from members of the public which relate to:

      (a) any conduct or dissatisfaction with any Person regulated by the DFSA;
      (b) a contravention of a Law or Rule; or
      (c) any conduct that causes or may cause damage to the reputation of the DIFC or the financial services industry in the DIFC;

      are classified as regulatory complaints and are assessed through the DFSA's complaints management function.

      Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition

    • RPP 5-3-7

      If, during the assessment of a regulatory complaint, the DFSA identifies a potential contravention of a Law or Rule, it will refer the complaint to the relevant DFSA division for further consideration. Thereafter, the relevant division assumes responsibility for the complaint.

      Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition

    • RPP 5-3-8

      All complaints lodged with the DFSA are held in confidence in accordance with the Regulatory Law 2004. However, in order to assess a complaint properly, the DFSA may need to speak to third parties including any Person who is the subject of the complaint.

      Derived from Notice of Updates (Made 20th December 2012). December 2012 Edition