+3. These guidelines do not apply where a firm receives a complaint about: a. activities other than …
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3. These guidelines do not apply where a firm receives a complaint about: a. activities other than …
These guidelines do not apply where a firm receives a complaint about: - a. activities other than those supervised by ‘competent authorities’ pursuant to Article 4(3) of the ESMA Regulation, or Article 4(2) of the EBA Regulation.
- b. the activities of another entity for which that firm has no legal or regulatory responsi-bility (and where those activities form the substance of the complaint).
However, that firm should respond, where possible, explaining the firm’s position on the complaint and/or, where appropriate, giving details of the firm or other financial institution responsible for handling the complaint.
1. Übersicht
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Regulierung |
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1.1 Referenzen
1.2 Identifizierte Anforderungen
1.3 Zugehörige Standards
2. Identifizierte Anforderungen
Anforderungen
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Anforderung |
3. Zugehörige Standards
Standards
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Anforderung |
- EBA - Published by the European Banking Authority at https://www.eba.europa.eu/
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