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    • Chairman Message
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    • National Project
    • Events
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    • List Of Registered Auditors
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    • Persons Restricted from Practicing Securities Activities or Registered Positions and Employment Positions
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    • Facilitating the opening of investment accounts Initiative
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    • Initial Implementation Phase
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Executive Bylaws - CMA

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Executive Bylaws

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  • February 17
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5-1 Of Module Six: Policies & Procedures of Licensed Persons
Section: Chapter Five: Clients’ Complaints
  • Sunday, 05 February 2017

    Policies and procedures of dealing with complaints of Clients shall in particular include the following: 1. A template of a complaint form which indicates information and documents needed from the Client. The form shall be published on the website of the Licensed Person. 2. Procedures for receiving a complaint, including notifying the Client of receipt of the respective complaint and number thereof. 3. Procedures required to be taken on the part of the Licensed Person to ensure proper handling of complaints and in a timely manner. 4. Procedures of settling complaints, ensuring that each employee dealing with Clients is notified of such procedures. 5. Procedures required to be taken to notify the Client of the results of the investigation of a complaint. The Licensed Person is required to inform a complaining Client of the steps taken in response to a complaint within a maximum period of thirty days as of receipt of the complaint.

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