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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Authorised Market Institutions (AMI) [VER18/02-17]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • AMI 9.7 Complaints

    • AMI 9.7.1

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

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

      the Authorised Market InstitutionG must immediately notify the DFSAG of that event and give the DFSAG 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]