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. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• 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.