Objective
Ensure complaints receive a reasoned resolution, appropriate remediation and a complete final response within the approved deadline, in accordance with section 9 (Resolution and Response) of the approved Client Complaints Handling Manual.
Control Activity
The complaint owner monitors each case against the requirement to resolve it within 30 business days from acknowledgment. Any delay is documented, approved and communicated with its reason and revised timeline. The final response states the complaint, findings, decision and rationale, corrective action or redress, and available escalation rights. Agreed remediation is assigned and tracked to closure.
Specifically, the control verifies that:
- Bitkaya aims to resolve complaints within 30 business days from acknowledgment.
- If additional time is required, the complainant is informed of the reason and provided with a revised timeline.
- The final response is delivered in writing and includes: a clear summary of the complaint, key findings from the investigation, the decision and rationale, and any remedial or corrective actions (refunds, adjustments, staff retraining, etc.).
- All responses are written in clear and understandable language.
- All responses are stored in the complaints register.
Evidence
- Expected evidence: Resolution deadline monitoring record (30 business days from acknowledgment)
- Expected evidence: Delay approval and client notification with reason and revised timeline, where applicable
- Expected evidence: Approved final response delivered in writing, including: clear summary of the complaint, key findings from the investigation, the decision and rationale, and any remedial or corrective actions (refunds, adjustments, staff retraining, etc.)
- Expected evidence: Confirmation that the response is written in clear and understandable language
- Expected evidence: Final response stored in the complaints register
- Expected evidence: Redress, corrective-action and closure records
- Evidence location: source evidence in SYS-ECM-002 Compliance Reporting and Evidence Repository; target Hermes assessment record in Odoo under ISS-HERMES-001.
- Retention: according to the applicable approved policy and Bitkaya record-retention requirements.
- Testing method: sample complaints and recalculate the 30-business-day deadline from acknowledgment, inspect final-response completeness (complaint summary, key findings, decision/rationale, remedial/corrective actions), verify clear language, confirm storage in complaints register, and trace remediation to closure
- Testing frequency: per complaint with at least monthly overdue-case review
Relationships
- Policy: POL-COMP-001 Client Complaints Handling Manual
- Process: PRC-CPO-001 Client Protection and Operations
- Procedure: PROC-COMP-005 Resolve Remediate and Issue Final Responses
Assurance
Runtime effectiveness results are maintained in Odoo and assessed through the Hermes workflow tracked in ISS-HERMES-001. This note defines design, ownership, evidence expectations and testing method; it does not contain a manually maintained operation, evidence or overall effectiveness rating.
- Design status: implemented
History
- 2026-07-28: Enriched verification requirements with full details from PDF section 9 (30-day timeline, delay notification, final response contents, clear language, register storage).
- 2026-07-26: Normalized evidence metadata and separated design status from runtime effectiveness.
- 2026-07-26: Created from the approved COMP Manual.