Entire Section

  • Regulatory Complaints

    • RPP 5-3-6

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

      (a) any conduct of or dissatisfaction with any Person regulated by the DFSA;
      (b) a potential 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.

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition

    • RPP 5-3-7

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

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition

    • RPP 5-3-8

      All complaints lodged with the DFSA are held in confidence in accordance with the Regulatory Law. 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.

      Added by Notice of Updates (Made 23rd November 2014). November 2014 Edition