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  2. Point in time
    2019-02-13

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 FCA 1of that event, and give the FCA 1a copy of the complaints investigator's report and particulars of his recommendations as soon as that report or those recommendations are available to it.

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