CIPR 3.8.4 Referring complaints to other firms
(1) If an authorised firm (the receiving firm) is satisfied on reasonable grounds that another authorised firm may be solely, jointly or partly responsible for the act or omission alleged in a complaint, it may refer all or part of the complaint to the other firm.
(2) However, the receiving firm:
(a) must make any referral to the other firm promptly, but no later than 5 business days after the day on which it became satisfied that the other firm may be solely, jointly or partly responsible for the act or omission;
(b) must make the referral in a durable medium; and
(c) must inform the complainant in a durable medium about the referral and the other firm's contact details.
(3) Unless the receiving firm is satisfied that the other firm may be solely responsible for the act or omission, the receiving firm must continue to comply with these rules in relation to the complaint.
(4) If an authorised firm receives a complaint that was referred to it by the receiving firm under subrule (1), the complaint is taken, for these rules:
(a) to have been made directly to the firm by the complainant; and
(b) to have been received by it when it received the referral.
|Derived from QFCRA RM/2019-2 (as from 1st January 2020).|