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 authority 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 clients or potential clients 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 clients to access the crypto-asset services 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 clients or potential clients 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 client or potential client that filed the complaint.