+Joint Committee Guidelines
---+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 …

Joint Committee Guidelines

Joint Committee Guidelines

1. Panoramica

,
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

  •  O

1.1 Riferimenti

1.2 Requisiti identificati

1.3 Standard correlati

2. Requisiti identificati

Requisiti

3. Standard correlati

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