+Annex – Guidelines on complaints-handling for the securities and banking 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. With regard to non-credit institution creditors and credit intermediaries, the guidelines apply …
---------+4. These guidelines do not apply where a firm receives a complaint about: a. activities other than …
---------+5. These guidelines are issued pursuant to Article 16 of the ESA Regulations . In accordance with …
---------+6. These guidelines set out ESMA’s and the EBA’s view of appropriate supervisory practices within …
---------+7. Competent authorities must notify ESMA and/or the EBA whether they comply or intend to comply …
---------+8. These guidelines apply from the date of the reporting requirement referred to in paragraph 7. …
---------+9. Irrespective of whether or not an authority pursuant to Article 4(2) of the EBA Regulation is …
---------+10. Unless otherwise specified, terms used in the following sectoral legislation have the same …
---------+11. For the purposes of these guidelines only, the indicative definitions set out in the table …
------+Guidelines on complaints-handling

Annex – Guidelines on complaints-handling for the securities and banking sectors

Annex – Guidelines on complaints-handling for the securities and banking sectors

1. Overview

,
Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors

Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

Standards
  • EBA - Published by the European Banking Authority at https://www.eba.europa.eu/