Guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors

  • Status: Final and translated into the EU official languages

ESMA and the EBA are proposing to develop complaint handling guidelines for the investment and banking sectors that are identical to the existing EIOPA guidelines for the insurance sector. The objective is to provide EU consumers with a single set of complaints handling arrangements, irrespective of the type of product or service and of the geographical location of the firm in question. This will also allow firms to streamline and standardise their complaints handling arrangements and national regulators to supervise the same requirements across all sectors of financial services.

Summary of document history

Current version Ongoing versions

Joint Committee consultation on draft guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors

  • Status: Closed
  • Deadline: 7 FEBRUARY 2014
Documents
Chris Barnard.pdf

(12.03 KB - PDF) Last update 24 March 2014

International Financial Data Services.pdf

(343.57 KB - PDF) Last update 24 March 2014

European Association of Co-operative Banks (EACB).pdf

(128.38 KB - PDF) Last update 24 March 2014

Association of the Luxembourg Fund Industry (ALFI).pdf

(94.73 KB - PDF) Last update 24 March 2014

Eurofinas.pdf

(193.47 KB - PDF) Last update 24 March 2014

Consultation Paper

(326.87 KB - PDF) Last update 26 February 2014

Dutch Investors' Association (VEB).pdf

(505.18 KB - PDF) Last update 19 March 2015

Skagen AS.pdf

(60.84 KB - PDF) Last update 24 March 2014

Capolini-Perlingieri & Leone (CP-DL).pdf

(188.47 KB - PDF) Last update 24 March 2014

German Savings Banks Association (DSGV).pdf

(73.54 KB - PDF) Last update 24 March 2014

European Federation of Building Societies (EFBS).pdf

(55.46 KB - PDF) Last update 24 March 2014

European Banking Federation (EBF).pdf

(45.63 KB - PDF) Last update 24 March 2014

Swedish Investment Fund Association.pdf

(53.21 KB - PDF) Last update 24 March 2014

Arbitration Board of Budapest.pdf

(233.57 KB - PDF) Last update 24 March 2014

Association for Financial Markets in Europe (AFME).pdf

(82.17 KB - PDF) Last update 24 March 2014

Danish Shareholders Association (DAF).pdf

(223.91 KB - PDF) Last update 24 March 2014

Banking Stakeholders Group of the EBA.pdf

(42.11 KB - PDF) Last update 24 March 2014

European Fund and Asset Management Association (EFAMA).pdf

(141.63 KB - PDF) Last update 24 March 2014

Kenmar Associates.pdf

(90.56 KB - PDF) Last update 24 March 2014

International Personal Finance (IPF).pdf

(71.18 KB - PDF) Last update 24 March 2014

Swedish Bankers Association.pdf

(971.19 KB - PDF) Last update 24 March 2014

Hungarian Compliance Professionals Working Group.pdf

(128.3 KB - PDF) Last update 24 March 2014

UniCredit.pdf

(271.88 KB - PDF) Last update 24 March 2014

German Investment Fund Association (BVI).pdf

(75.11 KB - PDF) Last update 24 March 2014

British Bankers’ Association (BBA).pdf

(238.99 KB - PDF) Last update 24 March 2014

European Federation of Insurance Intermediaries (BIPAR).pdf

(446.65 KB - PDF) Last update 24 March 2014

Deutsche Bank AG.pdf

(45.63 KB - PDF) Last update 24 March 2014

Avantage Reply Limited.pdf

(116.13 KB - PDF) Last update 24 March 2014

2014-02-07 BSG Opinion on JC CP 2013 03

(42.12 KB - PDF) Last update 18 September 2014

Belgian Asset Managers Association (BEAMA).pdf

(213.92 KB - PDF) Last update 24 March 2014

Euroclear.pdf

(122.66 KB - PDF) Last update 24 March 2014

Associazione del Risparmio Gestito (Assogestioni).pdf

(73.73 KB - PDF) Last update 24 March 2014

Centro de Arbitragem de Lisboa.pdf

(31.6 KB - PDF) Last update 24 March 2014

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