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CRITERIA APPLIED BY CNMV WHEN SETTLING A COMPLAINT

The list of criteria included here, in addition to complying with the principle of transparency applicable in administration activities, constitutes a detailed, systematic, practical and updated guide to the guidelines followed by the Complaints Service when settling the complaints that it analyses. It is therefore addressed not only to investors who may be interested in filing a complaint, but also to the entities that may be affected by such complaint, in an attempt to provide certain legal certainty in this area of CNMV’s action.

However, this guide is not intended to be exhaustive; rather, it seeks to disseminate as widely as possible the way in which the most common queries will be resolved. Nevertheless, the criteria respond to a specific moment in time, the date of their publication, meaning that future regulatory amendments or changes in the circumstances revealed through the complaints could give rise to changes to them, about which adequate information will be provided.

Finally, it should be pointed out that, in order to better locate the specific criterion to be consulted, the issues usually analysed by this Complaints Service have been divided into nine main headings, each of which, in turn, is divided into several sub-headings through which it is intended to facilitate the search for the matter to be consulted.

The following is a list of the criteria used by the CNMV’s Complaints Service to settle complaints:

In addition, the full text of the criteria guide is included below, in case it is of interest to the person making the enquiry: access the complete document to consult all the criteria applied in the resolution of complaints

Finally, it should be noted that since the publication of the Complaints Report in 2016, the criteria used to settle the complaints that this Complaints Service has dealt with in the specific year to which this Report refers have been included in this annual report, although, in this case, the criteria are included to refer to specific complaints and not for general purposes, as in the aforementioned document.

This Report also includes statistical data and references to the different activities carried out by the Investor Department. Therefore, it may be of interest to consult it, which may be done through the following link: reports on investor assistance and enquiries.