+on Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors
---+Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors
---+Purpose
------+1. In order to ensure the adequate protection of consumers, these guidelines seek to: a. clarify …
---+Scope
------+2. These guidelines apply to authorities competent for supervising complaints-handling by firms in …
------+3. These guidelines do not apply where a firm receives a complaint about: a. activities other than …
---+Compliance, reporting obligations and date of application
------+4. These guidelines are issued pursuant to Article 16 of the ESA Regulations . In accord-ance with …
------+5. These guidelines set out ESMA’s and the EBA’s view of appropriate supervisory practices within …
------+6. Competent authorities must notify ESMA and/or the EBA whether they comply or intend to comply …
------+7. These guidelines apply from the date of the reporting requirement referred to in paragraph 6.
---+Definitions
------+8. Unless otherwise specified, terms used in the following sectoral legislation have the same …
---+ A1
------+9. For the purposes of these guidelines only, the indicative definitions set out in the table …
---+Guidelines on complaints-handling
---+Guideline 1 – Complaints management policy
------+1. Competent authorities should ensure that: a) A ‘complaints management policy’ is put in place by …
---+Guideline 2 – Complaints management function
------+2. Competent authorities should ensure that firms have a complaints management function which …
---+Guideline 3 – Registration
------+3. Competent authorities should ensure that firms register, internally, complaints in accordance …
---+Guideline 4 – Reporting
------+4. Competent authorities should ensure that firms provide information on complaints and …
---+Guideline 5 – Internal follow-up of complaints-handling
------+5. Competent authorities should ensure that firms analyse, on an on-going basis, complaints- …
---+Guideline 6 – Provision of information
------+6. Competent authorities should ensure that firms: a) On request or when acknowledging receipt of a …
---+Guideline 7 – Procedures for responding to complaints
------+7. Competent authorities should ensure that firms: a) Seek to gather and investigate all relevant …
|
on Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors
Application date ➢ O JC Guidelines for complaints-handling 25.10.2014 Amended by: ➢ A1 JC /GL/2024/XX Insert date
1. Přehled
1.1 Odkazy
1.2 Identifikované požadavky
1.3 Související standardy
2. Identifikované požadavky
Požadavky
| Zdroj |
Požadavek |
3. Související standardy
Standardy
| Zdroj |
Požadavek |
- EBA -
EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.
DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.
|