Responses to ESMA and EBA Consultation on Guidelines for Complaints Handling in the Securities and Banking Sectors

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On March 19, the European Securities and Markets Authority (ESMA) published a list of the responses it received to its November 2013 consultation on draft guidelines for complaints handling in the securities and banking sectors. The list includes responses from the following bodies:

    • Association for Financial Markets in Europe;
    • British Bankers’ Association;
    • European Banking Federation;
    • European Fund and Asset Management Association.

ESMA and the European Banking Authority (EBA), who carried out the consultation jointly with ESMA, intend to publish a final report and guidelines in the first quarter of 2014. Competent authorities will be expected to incorporate the guidelines into their supervisory practices as appropriate. ESMA List of Responses.

 


DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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