CHAPTER IIU.K.ORGANISATIONAL REQUIREMENTS

SECTION 1U.K.Organisation

Article 10U.K.(Article 13(2) of Directive 2004/39/EC)Complaints handling

Member States shall require investment firms to establish, implement and maintain effective and transparent procedures for the reasonable and prompt handling of complaints received from retail clients or potential retail clients, and to keep a record of each complaint and the measures taken for its resolution.