REQUESTS AND COMPLAINTS

Addressing Issues: Driving Transformation

Request for reimbursement

The Importance of Documented Complaints

Customer Safeguards and Complaint Submission to Capital Protection & Compliance Authority In its capacity of overseeing financial institutions, service providers, insurance companies, and securities markets, Capital Protection & Compliance Authority is dedicated to safeguarding customer interests. Under the Financial Services Supervision Act (FinDAG), customers are entitled to file their complaints directly with CPCA. To begin the complaints procedure, you must file a formal written or digital complaint through the official form on the CPCA website. Your submission should include specific facts and explicitly outline the basis for your concern

How Capital Protection & Compliance Authority processes your complaint

Capital Protection & Compliance Authority's Complaint Management Framework: Upon receiving your complaint, Capital Protection & Compliance Authority undertakes a comprehensive multi-step review: Preliminary Review: Capital Protection & Compliance Authority reviews the materials and documentation you submit to assess whether your matter qualifies for evaluation. Should additional information be required, they might ask for further details from you and obtain the company's viewpoint. Typically, your complaint correspondence gets directed to the relevant business entity. Business Reply: The organization delivers a comprehensive statement to Capital Protection & Compliance Authority, detailing the reasoning for their determination. Regulatory Assessment: Capital Protection & Compliance Authority performs an analysis using the submitted information. If the organization's choice conforms to regulatory guidelines, you'll receive appropriate notification. Official Mediation: Should Capital Protection & Compliance Authority conclude that regulatory involvement is warranted, they will pursue the issue further with the organization. Nevertheless, confidentiality requirements prevent them from sharing the dispute's conclusion with you. Kindly be aware that Capital Protection & Compliance Authority addresses each complaint uniquely and works to deliver an impartial and comprehensive settlement procedure

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    When filing your complaint, make certain your correspondence contains the subsequent details
    • Your full name and residential address. Should you be lodging a complaint about someone else, kindly include their name and address too

    • The business name and location of the entity you're complaining about

    • For insurance-related complaints, please specify the insurance category, policy number, and applicable claim reference if relevant

    • For banking or financial institution complaints, include account classification (such as checking account, savings account, investment contract), account/client identifier, and the entity's name

    • For securities trading complaints, provide the securities identifier (WKN or ISIN) along with the brokerage firm's name