30 Miss. Code. R. 1502-3.2 - Complaints

1. A complaint may be filed with the Board alleging that an AMC, an employee, partner, officer or agent of the AMC has committed a violation of the Board's laws and/or rules and regulations. The complaint must be in writing, signed by the complainant and contain facts to support each allegation of violation. Documents and evidence in support of the complaint should be submitted with the complaint.

2. Upon receipt of a complaint:

(a) The Board staff shall assign the complaint a case number;

(b) If it is determined at any time that the complaint is not within the Board's jurisdiction or that no violation exists, a recommendation will be made to the Board to dismiss the complaint.

(c) A written notice and copy of the complaint shall be sent to the AMC advising of the allegations and a request made for the AMC to submit a response within twenty (20) days of the receipt of the notice.

(d) The response shall include the following:

(i) A written response to the complaint, addressing each and every element thereof;

(ii) A copy of all requested records and any other relevant records; and

(iii) A list of any and all persons known to the registrant to have actual knowledge of any of the matters made the subject of the complaint and, contact information, if known.

3. Upon timely receipt of the AMC's response or after the twenty (20) day response period, the Board will proceed with the investigation.

4. The Board may also commence an investigation on its own initiative.

Notes

30 Miss. Code. R. 1502-3.2

Miss. Code Ann . § 73-34-41 (Rev. 2012).

Amended 1/10/2020