28.—(1) If—
(a)a client of an authorised person is dissatisfied with the handling by the authorised person of a complaint by the client; or
(b)an authorised person and a client cannot agree on how to resolve a complaint by the client that the authorised person has failed to comply with the rules or a code of practice;
either the client or the authorised person may ask the Regulator to review the authorised person’s handling of the complaint.
(2) For the purpose of such a review, the Regulator may direct the authorised person in writing to give the Regulator information or documents (being information or documents concerning either the handling of the complaint, or the conduct of the matter out of which the complaint arose) to the Regulator, and the authorised person must give the information or documents to the Regulator without delay.