The DFSA is interested in receiving complaints about the following:
• Misconduct or dissatisfaction with an Authorised Firm, Authorised Individual, Ancillary Service Provider, Authorised Market Institution or Fund
• A contravention of a law or rule administered by the DFSA
• Misconduct or dissatisfaction with the activities of the DFSA and/or any of its employees
• Any conduct that causes or may cause damage to the reputation of the Dubai International Financial Centre or the financial services industry in the DIFC.
Below are some examples of the types of complaints the DFSA handles. If you are unsure of whether the complaint is relevant to us we urge you to submit a complaint.
• Offers of unlicensed financial services in DIFC
• Making false inducements to Clients
• Illegal offers of securities
• Breaches of the Anti-Money Laundering and Counter Terrorist Financing obligations
• Failure to follow Know Your Client requirements
• Breakdowns in systems and controls