Claims registered by the professional
- Professionals subject to CSSF prudential supervision
Applicable CSSF Regulation & CSSF Circulars:
- CSSF Regulation N°16-07
- CSSF Circular 17/671 as amended by CSSF Circular 18/698
The claims register and report
The complaints manager must communicate the following to the CSSF:
- The summary report of claims and the actions taken to address them, if any.
The table and report must cover the previous calendar year.
These documents must also include claims registered at the professional's overseas branches.
Deadline not to be missed!
- These documents (table and report) must be submitted to the CSSF no later than 1 March each year.
- For Investment Fund Managers, this communication must reach the CSSF within 5 months of the financial year-end.
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