All complaints lodged with the DFSA are submitted in confidence. We will never disclose or confirm to anyone that you have lodged a complaint with the DFSA unless compelled to do so by law. It is important for you to know that by virtue of the steps we take to assess your complaint it may become obvious to the person or company involved that you have contacted the DFSA.
The DFSA is not a judicial body and therefore our primary objective is to seek regulatory outcomes not commercial resolutions. What we do as part of our assessment process is to carefully examine your situation from a regulatory perspective and ascertain if we need to take action.
Once you submit your complaint you will receive notification by mail or e-mail that we have received it. This acknowledgement letter will also include the details of the relevant DFSA officer assigned to your matter.
The DFSA officer will be responsible for assessing your complaint. This may involve liaising with specialists within the DFSA, contacting witnesses, speaking with other regulators and most likely contacting the firm or individual involved.
Once this assessment has been completed the DFSA Officer will contact you with a final response.
All complaints lodged with the DFSA are recorded on our confidential database.