When you raise a concern, we listen — and we act.
The Financial Monitoring Commission stands as an independent guardian between investors and the firms that serve them. Every complaint we receive is treated as a serious matter — examined on its merits, weighed against our rules, and resolved through a process that is fair to both sides.
How we handle every complaint
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01
Receipt & reference
Your complaint is logged and assigned a unique reference number for tracking, with confidentiality protected from the moment of submission.
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02
Initial assessment
A specialist reviews the evidence, verifies the firm's licence status, and determines the regulatory grounds engaged by the case.
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03
Formal investigation
Where the evidence warrants it, the Commission opens a full inquiry — requesting records, statements, and supporting documents from the firm and the complainant alike.
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04
Hearing both sides
Findings are tested against the firm's response. Both parties are given the opportunity to present submissions before any final determination is made.
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05
Determination & remedy
An impartial ruling is issued — either in favour of the complainant, with restitution and sanctions, or in favour of the firm where the evidence does not support the claim.
Our role is, and always will be: to anchor a safer investment environment — protecting the interests of every investor while upholding the rights of every authorised firm.