Financial Advisers (Complaints Handling and Resolution) Regulations 2021
Sets out requirements for financial advisory firms to exercise management oversight and establish policies and procedures for handling and resolving complaints independently and promptly.
Prescribes additional persons as accredited investors (e.g. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for the purpose of the SFA.
Consultation on Draft Financial Advisers (Complaints Handling and Resolution) Regulations.
- Consultation number:
- P014 - 2013
- Start date:
- 30 September 2013
- Closing date:
- 31 October 2013
- MAS response date:
- 11 March 2021
Guidelines for Board and Senior Management on implementing fair dealing outcomes to customers.