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  • GR-10.4 GR-10.4 Internal Complaint Handling Procedures

    • GR-10.4.1

      A licensee's internal complaint handling procedures must provide for:

      (a) The receipt of written complaints;
      (b) The appropriate investigation of complaints;
      (c) An appropriate decision-making process in relation to the response to a customer complaint;
      (d) Notification of the decision to the customer;
      (e) The recording of complaints; and
      (f) How to deal with complaints when a business continuity plan (BCP) is operative.
      Added: December 2018

    • GR-10.4.2

      A licensee's internal complaint handling procedures must be designed to ensure that:

      (a) All complaints are handled fairly, effectively and promptly;
      (b) Recurring systems failures are identified, investigated and remedied;
      (c) The number of unresolved complaints referred to the CBB is minimised;
      (d) NThe employee responsible for the resolution of complaints has the necessary authority to resolve complaints or has ready access to an employee who has the necessary authority; and
      (e) Relevant employees are aware of the licensee's internal complaint handling procedures and comply with them and receive training periodically to be kept abreast of changes in procedures.
      Added: December 2018