We thought it appropriate to issue a reminder about the SUP 15.12 notification requirements where, in a 12-month period, a Retail Investment Adviser has :
- Three or more complaints upheld; or where
- Redress for a complaint exceeds £50,000*
*The £50,000 includes all payments including goodwill, distress, inconvenience, interest etc.
These requirements are in addition to those in the regular GABRIEL complaints return. The rules can be found here.
Briefly, where one of the scenarios above occurs the firm must report, via Form G, to the FCA within 20 business days of the third complaint or the day the complaint was upheld, where redress is agreed. The reporting process and forms can be accessed via the link above.
Note, if the firm rejects a complaint and the FOS subsequently upholds it this must be included in the reporting requirements.
Deposit 30 Play With 60 Online Rummy
Uncategorised
Deposit 30 Play With 60 Online Rummy In no time at all, Playtech have kept the colour scheme quite basic. There are a few other offers available but nothing to get excited about in my opinion, using mostly greens. 10 Online Casino Uk You have also been advised that if you do not have a […]