3.4 Records of Compliants

a.   All Members shall retain for at least 5 years all written complaints in relation to any business conducted on the Exchange, whether or not subject to the Exchange’s terms.

b.   The Member shall ensure that all such complaints are promptly, thoroughly and fairly investigated and that the complainant is informed in writing of the outcome. All serious complaints shall be investigated by a senior officer or employee of the Member who has no personal interest in the subject matter.

c.   The Member shall also compile and keep a register showing details of the date of receipt of all such complaints, the client, the account executive, the matter complained of and any action taken by the Member.

d.   The register shall be open to inspection by the Exchange upon demand.


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