10 Del. Admin. Code § 301-16.0

Current through Register Vol. 28, No. 5, November 1, 2024
Section 301-16.0 - Authorized Players' Complaints
16.1 Registrants shall develop and prominently display procedures for the filing of a complaint by the authorized player against such registrant.
16.1.1 An initial response shall be given by such registrant to such player filing the complaint within forty-eight hours.
16.1.2 A complete response shall be given by such registrant to such player filing the complaint within ten business days.
16.1.2.1 If the response to a complaint is that more information is needed, the form and nature of the necessary information shall be specifically stated. When additional information is received, further response shall be required within seven days.
16.1.3 If the relief requested in the complaint by the authorized player will not be granted by registrant, the response to the complaint shall state the reasons with specificity.
16.1.4 Retention of Complaints:
16.1.4.1 All complaints received by a registrant from an authorized player and the registrant's responses to complaints shall be retained for at least three years and made available to the Commission within seven days of any request by the Commission.
16.1.4.2 For those complaints that require an adjustment to an authorized player's account in excess of $500 registrant shall maintain the following records:
16.1.4.2.1 Name and address of the authorized player;
16.1.4.2.2 Purpose of the complaint;
16.1.4.2.3 The date the complaint was received by the registrant;
16.1.4.2.4 The complaint denial whenever a complaint is denied;
16.1.4.2.5 Copy of the complaint
16.1.4.2.6 All written communications between the registrant and the complainant.
16.1.4.2.7 All documents or telephone recordings created in connection with a complaint.
16.1.4.2.8 Any additional information used by the registrant in determining how to resolve the complaint; and
16.1.4.2.9 How the complaint was resolved by the registrant, including any adjustment to a customer's account.
16.1.5 The registrant shall also maintain a permanent record summarizing the number and nature of consumer complaints and the resolution or outcome of such complaints.
16.2 An authorized player may file a complaint alleging a violation of the provisions of 29Del.C.Ch. 48, Subchapter III or these regulations with the Director.
16.2.1 The Commission will develop a complaint form, which shall require:
16.2.1.1 Name, address, phone number and email of complainant;
16.2.1.2 Purpose of the complaint; and
16.2.1.3 Whether the complainant filed a complaint with the registrant and if so, when the complaint was filed and how the complaint was resolved by the registrant
16.2.2 The Commission's complaint form will be available through its website or by contacting the Commission by phone or letter.
16.2.3 Upon receipt of a completed complaint form, the Commission shall initiate an investigation.
16.2.3.1 The Commission will attempt to mediate such complaints where appropriate.
16.2.3.2 If mediation is not appropriate or fails, the Director may suspend or revoke registrant's registration if it is determined, after a hearing, that the registrant engaged in any conduct that constitutes a violation of 29Del.C.Ch. 48, Subchapter III or these regulations.

10 Del. Admin. Code § 301-16.0

21 DE Reg. 499 (12/1/2017) (Final)