• MIR 2.13 MIR 2.13 Complaints

    • MIR 2.13.1

      The Recognised Body must have effective arrangements for the investigation and resolution of complaints arising in connection with the performance of, or failure to perform, any of its Regulatory Functions.

    • MIR 2.13.2

      The arrangements must include arrangements for a complaint to be fairly and impartially investigated by a Person independent of the Recognised Body, and for him to report on the result of his investigation to the Recognised Body and to the complainant.

    • MIR 2.13.3

      The arrangements must confer on the Person mentioned in Rule 2.13.2 the power to recommend, if he thinks appropriate, that the Recognised Body:

      (a) makes a compensatory payment to the complainant; or
      (b) remedies the matter complained of,

      or takes both of those steps.

    • MIR 2.13.4

      Nothing in these Rules is to be taken as preventing the Recognised Body from making arrangements for the initial investigation of a complaint to be conducted by the Recognised Body.

    • MIR 2.13.5

      In determining whether a Recognised Body has effective arrangements for the investigation and resolution of complaints arising in connection with the performance of, or failure to perform, any of its Regulatory Functions, the Regulator may have regard to the extent to which the Recognised Body's resources and procedures enable it to:

      (a) acknowledge complaints promptly;
      (b) make an objective, prompt and thorough initial investigation of complaints;
      (c) provide a timely reply to the complainant after that initial investigation;
      (d) inform the complainant of his right to apply to the Recognised Body's complaints investigator; and
      (e) keep adequate records of complaints and investigations.

    • MIR 2.13.6

      In determining whether a Recognised Body's arrangements for the investigation of complaints include appropriate arrangements for the complaint to be fairly and impartially investigated by an independent Person (a "complaints investigator"), the Regulator may have regard to:

      (a) the arrangements made for appointing (and removing) a complaints investigator, including the terms and conditions of such an appointment and the provision for remuneration of a complaints investigator;
      (b) the complaints investigator's access to, and relationship with, the Recognised Body's governing body and Key Individuals;
      (c) the arrangements made for giving complainants access to the complaints investigator;
      (d) the facilities made available to the complaints investigator to enable him to pursue his investigation and prepare his report and recommendations, including access to the Recognised Body's records, Key Individuals and other staff (including, where appropriate, suppliers, contractors or other Persons to whom any functions have been outsourced and their staff); and
      (e) the arrangements made for the Recognised Body to consider the complaints investigator's report and recommendations.