GEN 9.2.3

On receipt of a Complaint, an Authorised Firm must:

(a) acknowledge the Complaint promptly in writing;
(b) provide the complainant with:
(i) the contact details of any individual responsible for handling the Complaint;
(ii) key particulars of the Authorised Firm'sComplaints handling procedures; and
(iii) a statement that a copy of the procedures is available free of charge upon request in accordance with GEN Rule 9.2.11; and
(c) consider the subject matter of the Complaint.
[Added] DFSA RM56/2008 (Made 1st July 2008). [VER19/07-08]