Regulatory AlertsDOC-2012-07 Handling of Complaints
The French Financial Markets Authority (AMF) issues Instruction DOC-2012-07 to establish mandatory rules for financial service providers regarding the handling of client complaints. The instruction mandates that entities disclose their complaint resolution systems and mediator access to clients, implement standardized procedures for efficient processing, and maintain monitoring mechanisms to correct operational dysfunctions. These requirements apply to investment service providers, financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts.
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