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

Final report on the application of the existing Joint Committee Guidelines on complaints-handling to authorities competent for supervising the new institutions under PSD2 and/or the MCD

  • Status: In force
  • Application date:
  • Compliance deadline:
Extension of the Joint Committee Guidelines on complaints-handling (JC 2018 35)

(358.36 KB - PDF) Last update 9 July 2019

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