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DISP 1.9 Complaints record rule

DISP 1.9.1RRP

A firm, including, in the case of 45 collective portfolio management services for a UCITS scheme or an EEA UCITS scheme, a branch of a UK firm in another EEA State, a payment service provider or an e-money issuer,5 must keep a record of each complaint received and the measures taken for its resolution, and retain that record for:3

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  1. (1)

    at least five years where the complaint relates to4 collective portfolio management services for a UCITS scheme or an EEA UCITS scheme; and3

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  2. (2)

    three years for all other complaints;3

from the date the complaint was received.3

Note:4 article 6(2) of the UCITS implementing Directive]3

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DISP 1.9.2GRP

The records of the measures taken for resolution of complaints may be used to assist with the collection of management information pursuant to DISP 1.3.3BG(1) and regular reporting to the senior personnel pursuant to DISP 1.3.3BG(6).3

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