Directly to the firm
DIFC firms authorised by the DFSA must satisfy us that they have adequate mechanisms in place to deal with customer complaints. These mechanisms are designed to help you resolve your dispute by dealing with the company directly.
Before contacting the DFSA you should try dealing with the Authorised Firm first. This can often be quicker and more efficient as it is also in the company’s interest to resolve your complaint.
You may choose to contact the Authorised Firm in person, by phone or in writing. Putting your concerns in writing is the best way as it creates a record of your issue and allows you to retain a copy.
When writing to a company you should make sure you set out the circumstances of your complaint clearly and as simply as possible. Dealing with events chronologically can be a good start.
The Authorised Firm should acknowledge your complaint and provide you with a response to the issues you have raised.
If you are unhappy with this response you may wish to contact the DFSA.
To the DFSA
The DFSA will only consider complaints submitted to it in writing. To enable us to assess your complaint as quickly and efficiently as possible it should include the following information:
• Your details eg Name, Address, Telephone, e-mail address
• Details of the person against whom you have a complaint eg Name, Address, Telephone, e-mail address, as well as the individual you dealt with.
• Chronology of events including times and dates if possible.
Attach any documents you have received or any documents you think may be relevant. If you have written to the person previously please provide a copy of your letter as well as any response you may have received from the person.
Have you taken any legal action? If you are taking legal action in relation to the reported conduct please let us know who your lawyer is and if you consent to us contacting them to obtain more information.
Do you consent to us contacting the person directly? As discussed above, all complaints are received in the strictest of confidence and we will take all necessary steps to protect the identities of complainants. Contacting the subject company directly is the quickest way of finding out information but we will only do so with your consent.
If you wish to submit a complaint to the DFSA, please click here.