Complaints and Sanctions
1. For quarterly reports on complaints received from investors and the general public along with the trend analysis are to be submitted to FIMM’s Supervision department via email (email@example.com) or by mail to our office address;
2. For specific complaints that requires FIMM’s attention, it should be referred to FIMM’s Legal & Regulatory Affairs department via email (firstname.lastname@example.org); and
3. For complaints that have a recommendation to bar a Consultant from future registration arising from Distributor’s internal investigation, it should be referred to FIMM’s Legal & Regulatory Affairs department via email (email@example.com).
Public reprimands are published on FIMM’s website and via press releases. Kindly refer to the following link:
Distributors are notified before any public reprimand is published by way of a notice of decision by FIMM’s Disciplinary Committee towards the Distributors’ Consultant/ former Consultant.
FIMM will conduct an internal investigation against the Consultant to identify whether any further action is required.