RegAlert2021-08-25
Added · Updated
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.
ESMA published 1 document in the last 30 days — get each new one by email the day it lands.
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
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Source: European Securities and Markets Authority — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
More like this from ESMA
ESMA published 1 document in the last 30 days. We email you each new one the day it's published.