Art. 11 Complaints-handling procedures | RTS on CASP authorisation | MiCA

For the purposes of Article 62(2), point (l), of Regulation (EU) 2023/1114, applicants shall provide to the competent authoritymeans one or more authorities:designated by each Member State in accordance with Article 93 concerning offerors, persons seeking admission to trading of crypto-assets other than asset-referenced tokens and e-money tokens, issuers of asset-referenced tokens, or crypto-asset service providers;designated by each Member State for the application of Directive 2009/110/EC concerning issuers of e-money tokens; a detailed description of their complaints-handling procedures, including all the following:

information on the human and technical resources allocated to complaints handling;
information on the person in charge of the resources dedicated to the management of complaints, together with a curriculum vitae stating relevant education, professional training and professional experience justifying the knowledge, skills, and experience for the discharge of the responsibilities allocated to that person;
how the applicant ensures compliance with Commission Delegated Regulation establishing technical standards adopted pursuant to Article 71(5) of Regulation (EU) 2023/1114;
how the applicant will inform clientsmeans any natural or legal person to whom a crypto-asset service provider provides crypto-asset services; or potential clientsmeans any natural or legal person to whom a crypto-asset service provider provides crypto-asset services; of the possibility to file a complaint free of charge, where that information is available on the applicant’s website, or on any other relevant digital device that may be used by clientsmeans any natural or legal person to whom a crypto-asset service provider provides crypto-asset services; to access the crypto-asset servicesmeans any of the following services and activities relating to any crypto-asset:providing custody and administration of crypto-assets on behalf of clients;operation of a trading platform for crypto-assets;exchange of crypto-assets for funds;exchange of crypto-assets for other crypto-assets;execution of orders for crypto-assets on behalf of clients;placing of crypto-assets;reception and transmission of orders for crypto-assets on behalf of clients;providing advice on crypto-assets;providing portfolio management on crypto-assets;providing transfer services for crypto-assets on behalf of clients; and the content of the information provided;
the applicant’s record-keeping arrangements in relation to complaints;
the timeline provided in the complaints-handling procedures of the applicant to investigate, respond and, where appropriate, take measures in response to complaints received;
how the applicant will inform clientsmeans any natural or legal person to whom a crypto-asset service provider provides crypto-asset services; or potential clientsmeans any natural or legal person to whom a crypto-asset service provider provides crypto-asset services; of the available remedies;
the procedural key steps of the applicant in deciding on a complaint and how the applicant will communicate that decision to the clientmeans any natural or legal person to whom a crypto-asset service provider provides crypto-asset services; or potential clientmeans any natural or legal person to whom a crypto-asset service provider provides crypto-asset services; that filed the complaint.