Complaints received by the
DFSAfrom members of the public which relate to:(a) any conduct of or dissatisfaction with any Personregulated 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 DIFCor the financial services industry in the DIFC;
are classified as regulatory complaints and are assessed through the
DFSA'scomplaints management function.
If, during the assessment of a regulatory complaint, the
DFSAidentifies suspected misconduct or a suspected contravention of a Law, it will refer the complaint to the relevant DFSAdivision for further consideration. Thereafter, the relevant division assumes responsibility for the complaint.
All complaints lodged with the
DFSAare held in confidence in accordance with the Regulatory Law. However, in order to assess a complaint properly, the DFSAmay need to speak to third parties including any Personwho is the subject of the complaint.