Print

Policy IV - Marketing - Customer relationship Complaint handling

Abstract

The AMF clarifies the rules that investment services providers, financial investment advisers, crowdfunding investment advisers, real-estate investment trust management companies and issuers must comply with in their complaint handling. The instruction details the information to be given to the client about the complaint handling system, the procedures to be implemented in order to guarantee efficient, fair and harmonised handling, and a system for tracking these procedures in order to identify and remedy malfunctions.

Complaint handling

Instruction DOC-2012-07 Applicable from April 24, 2013 to November 19, 2013

The AMF clarifies the rules that investment services providers, financial investment advisers, real-estate investment trust management companies and issuers must comply with in their complaint handling. The instruction details the information to be given to the client about the complaint handling system, the procedures to be implemented in order to guarantee efficient, fair and harmonised handling, and a system for tracking these procedures in order to identify and remedy malfunctions.

Link to the document

Complaint handling

Instruction DOC-2012-07 Applicable from November 20, 2013 to October 16, 2014

The AMF clarifies the rules that investment services providers, financial investment advisers, real-estate investment trust management companies and issuers must comply with in their complaint handling. The instruction details the information to be given to the client about the complaint handling system, the procedures to be implemented in order to guarantee efficient, fair and harmonised handling, and a system for tracking these procedures in order to identify and remedy malfunctions.

Link to the document

Table des matières de la doctrine

Legal information
Head of publications: Florence Gaubert, Executive Director of AMF Communication Directorate.
Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02