AMI 9.7.1

Where an Authorised Market Institution has investigated a complaint arising in connection with the performance of, or failure to perform, any of its Regulatory Functions, and the conclusion is, that the Authorised Market Institution should:

(a) make a compensatory payment to any person; or
(b) remedy the matter which was the subject of that complaint,

the Authorised Market Institution must immediately notify the DFSA of that event and give the DFSA a copy of the report and particulars of the recommendation as soon as that report or those recommendations are available to it.

Derived from RM118/2013 [VER15/07-13]