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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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General Module (GEN) [VER44/07-19]
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  Versions
(1 version)
 
Jul 1 2008 onwards

GEN 9.3.2 Guidance



Whole Section PDF

The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

Depending on the nature, scale and complexity of its business, it may be appropriate for an Authorised FirmG to have in place a suitable ComplaintsG handling procedure for Professional ClientsG in order to ensure that such ComplaintsG are properly handled and remedial action is taken promptly. Such ComplaintsG handling procedures would be expected to include provisions about the independence of staff investigating the ComplaintG and bringing the matter to the attention of senior management.

[Added] DFSA RM56/2008 (Made 1st July 2008). [VER19/07-08]