DISP 1.9 Complaints record rule
A firm, including, in the case of MiFID business, a branch of a UK firm in another EEA state, must keep a record of each complaint received and the measures taken for its resolution, and retain that record for:
- (1)
at least five years where the complaint relates to MiFID business; and
- (2)
three years for all other complaints;
from the date the complaint was received.
[Note: article 10 of the MiFID implementing Directive]