Requirement (MIFID)
Article 10 Complaints handling
Requirements MIFID - DIRECTIVE 2006/73/EC
Description
Description
Member States shall require investment firms to establish,
implement and maintain effective and transparent procedures for
the reasonable and prompt handling of complaints received from
retail clients or potential retail clients, and to keep a record of
each complaint and the measures taken for its resolution.
Comment
Applies to Article 13(2) of Directive 2004/39/EC