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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • Retention of records

    • GEN 9.2.12

      An Authorised FirmG must maintain a record of all ComplaintsG made against it for a minimum period of six years from the date of receipt of a ComplaintG .

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

    • GEN 9.2.13

      This record must contain the name of the complainant, the substance of the ComplaintG , a record of the Authorised Firm'sG response, and any other relevant correspondence or records, and the action taken by the Authorised FirmG to resolve each ComplaintG .

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