Complaints procedure

One of the core objectives of the Capital Markets Authority is the protection of investor interests. In so doing, the Authority ensures that investors' complaints against market intermediaries are adequately addressed.

 

Where an investor is aggrieved by any licensed or approved person falling under the regulatory jurisdiction of the Authority, such investor is urged to first seek resolution from the said licensed or approved person. However, if the investor remains unsatisfied, the complaint should immediately be escalated to the Nairobi Securities Exchange. In particular, if the complaint involves a Member of the Exchange, the investor is urged to forward the complaint to the NSE Complaints Handling Unit for resolution, with the option of escalating the same to the Authority if the investor remains unsatisfied.

 

However, as the apex regulator of the Capital Markets in Kenya, the Authority reserves the right to directly receive all complaints touching on any aspect of the market, irrespective of value, nature or status of resolution.

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