2021-08-25

Joint Committee Guidelines on Complaints-Handling for the Securities and Banking Sectors

The Joint Committee, comprising the European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA), published guidelines to standardize complaints-handling procedures across the EU securities and banking sectors. These guidelines require financial firms to implement transparent, accessible, and efficient internal mechanisms for receiving, investigating, and resolving customer complaints within defined timeframes. By harmonizing national practices, the framework strengthens consumer protection, ensures consistent regulatory oversight, and streamlines cross-border dispute resolution for financial services.

European Union

European Securities and Markets Authority

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Reference

Joint Committee

Section

Joint Committee

Type

Guidelines & Recommendations

Main Document

gls_for_complaints-handling_for_the_securities_and_banking_sectors.zip

(EN)

Style

ESMA document