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  1. Point in time
    2007-07-06

REC 3.10 Complaints

REC 3.10.1RRP

Where a UK recognised body's complaints investigator has investigated a complaint arising in connection with the performance of, or failure to perform, any of its regulatory functions, and that complaints investigator has made a recommendation in respect of that complaint that the UK recognised body should:

  1. (1)

    make a compensatory payment to any person; or

  2. (2)

    remedy the matter which was the subject of that complaint;

the UK recognised body must immediately notify the FSA of that event, and give the FSA a copy of the complaints investigator's report and particulars of his recommendations as soon as that report or those recommendations are available to it.