In this act Article 11 of 18

Article 11 — Complaints-handling procedures

Financial servicesLevel 2RTSMiCAIn forceOfficial source

For the purposes of Article 62(2), point (l), of Regulation (EU) 2023/1114, applicants shall provide to the competent authority a detailed description of their complaints-handling procedures, including all the following:

11(a)

a)information on the human and technical resources allocated to complaints handling;

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11(b)

b)information on the person in charge of the resources dedicated to the management of complaints, together with a curriculum vitae stating relevant education, professional training and professional experience justifying the knowledge, skills, and experience for the discharge of the responsibilities allocated to that person;

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11(c)

c)how the applicant ensures compliance with Commission Delegated Regulation establishing technical standards adopted pursuant to Article 71(5) of Regulation (EU) 2023/1114;

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11(d)

d)how the applicant will inform clients or potential clients of the possibility to file a complaint free of charge, where that information is available on the applicant’s website, or on any other relevant digital device that may be used by clients to access the crypto-asset services and the content of the information provided;

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11(e)

e)the applicant’s record-keeping arrangements in relation to complaints;

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11(f)

f)the timeline provided in the complaints-handling procedures of the applicant to investigate, respond and, where appropriate, take measures in response to complaints received;

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11(g)

g)how the applicant will inform clients or potential clients of the available remedies;

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11(h)

h)the procedural key steps of the applicant in deciding on a complaint and how the applicant will communicate that decision to the client or potential client that filed the complaint.\

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