Securities Markets Order, 2013 · s 252

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s 252Complaints committee

(1)

The Authority shall establish a complaints committee to investigate the complaints in respect of -

fa} any.person who is a regulated person under this Order; and

{b) any complaints regarding the Authority.

(2)

The arrangements must make provision for the investigation of such complaints to be carried out in appropriate cases independently of the Authority and those persons complained of.

(3)

On the completion of the investigation of the complaint, if the complaints committee finds that the complaint is frivolous, vexatious, misconceived or without merits, or that the information is unsubstantiated, it shall recommend for the complaint to be dismissed.