DOC-2012-07 Handling of Complaints

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IV - Marketing - Customer Relations
IV. 1 - General Provisions
Doctrine
Protection of Savings

Handling of Complaints

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Applicable from January 1, 2024
Instruction DOC-2012-07

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Summary
The instruction concerns the handling of complaints relating to any financial instrument, any investment service, digital asset, and service on digital assets falling within the competence of the Autorité des marchés financiers (AMF) when the provider of these services is authorized, and more generally any matter falling within the competence of the Autorité des marchés financiers. It details the information to be given to the client on the complaint handling system and access to a mediator, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.

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The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system and access to a mediator, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.

Download the doctrine
Reference texts

Articles 313-8, 318-10, 322-71-1, 325-12-1 and 325-47 of the AMF General Regulation

The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system and access to a mediator, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.

Download the doctrine
Reference texts

Articles 313-8, 318-10, 321-43-1, 322-71-1, 325-12-1 and 325-47 of the AMF General Regulation

The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, participatory investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.

Download the doctrine
Reference texts

Article 313-8 of the General Regulation

Article 318-10 of the General Regulation

Article 322-71-1 of the General Regulation

Article 325-12-1 of the General Regulation

Article 321-43-1 of the General Regulation

Article 325-47 of the General Regulation

The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.

Download the doctrine
Reference texts

Article 313-8 of the General Regulation

Article 322-71-1 of the General Regulation

Article 325-12-1 of the General Regulation

Article 321-43-1 of the General Regulation

The AMF specifies the rules that Investment Service Providers (PSI), financial investment advisors, SCPI management companies, and issuers of registered securities accounts must respect for the handling of complaints. The instruction details the information to be given to the client on the complaint handling system, the procedures to be implemented for effective, equal, and harmonious treatment, and provides for monitoring to correct malfunctions.

Download the doctrine
Keywords

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Publisher: The Director of the AMF Communication Department. Contact: Communication Department, Autorité des marchés financiers - 17, place de la Bourse - 75082 Paris Cedex 02