1. Irish Financial Services Law
  2. Legislation (IE)
  3. Statutory Instruments
  4. 2007
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  1. European Communities (Markets in Financial Instruments) Regulations, 2007 [S.I. No. 60 of 2007]
  2. Part 5 Regulation and Supervision of Investment Firms (regs. 29-42)
  3. Regulation 38 Complaint procedures
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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 January 2018 - onwards
  Version 3 of 3    

Regulation 38 Complaint procedures

Revoked from 3 January 2018

(1) An investment firm shall -

(a) maintain effective and transparent procedures for the reasonable and prompt handling of complaints received from retail clients or potential retail clients, and

(b) keep a record of each complaint and the measures taken for the resolution of the complaint.

Comparing proposed amendment...
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