When a Complainant files a complaint with a Capital Market Operator (CMO), a Trade Group (TG), a Self-Regulatory Organisation (SRO), listed public company etc, it is expected that the entity to whom the complaint was filed should:
- Register the complaint in a Complaints Register, and in accordance with these rules.
- CMOs and public companies shall acknowledge receipt of complaints received by email within two (2) working days.
- Where complaints are received by post the CMO and public companies shall respond in writing within five (5) working days of the receipt of the complaint.
- All complaints shall be resolved by the public companies/capital market operators within ten (10) working days from the date the complaint was received. Depending on the gravity of the complaint, it may take no more than 21 working days for the matter to be resolved or referred onwards.
- Where the complaint is not resolved within the given timeframe, the complainant or entity to whom the complaint was filed shall refer the complaint to the SEC within two (2) working days.
>What to do if your complaint is not resolved (step-by-step)
