Complaints

AFSA is committed to the highest standards of integrity and ethical conduct. If you believe that an AIFC Participant or any person within AFSA’s regulatory remit has engaged in misconduct, bribery, corruption, market abuse, or other breaches of AIFC law, you can report it to AFSA under our [link to Speak Up Regime Policy].

AFSA operates a zero-tolerance approach to bribery and corruption. Allegations of bribery or corruption are handled under the ABC Policy, with appropriate internal controls, risk-based procedures, and potential escalation to external law-enforcement where warranted.

Complaints We Deal With

Complaints we deal with include:

• ABC-related conduct (e.g., bribery, fraud, money laundering).
• Regulation-related conduct by persons within AFSA’s remit (e.g., insider trading, market manipulation, serious breaches of AIFC Acts).
• Participant-related conduct (e.g., unauthorised activity, breaches of the Acting Law of the AIFC, market abuse, misuse of client assets or money).

For further information, you may read the [link to AFSA Speak-Up Regime Policy].

Complaints We Do Not Deal With

We may not be able to deal with complaints if they:

• Are unrelated to the AFSA;
• Do not involve a breach of Regulations or Rules administered by AFSA;
• Concern matters that fall under the jurisdiction of another regulator;
• Relate to personal employment issues (such as pay, promotion, or transfers) that do not involve misconduct;
• Are malicious, knowingly false, or lack sufficient detail to investigate.

Submit your complaint

Who can report

Reports may be made by AIFC Participants and their employees, service providers and consultants, and any member of the public who has information about reportable conduct.

How to report to AFSA

Please describe the events in chronological order and attach relevant documents. You may report anonymously, though providing contact details helps us investigate and update you.

Primary channel (preferred): AFSA Hotline Services portal – https://afsa.aifc.kz/afsa-hotline-services
Email: [email protected]

What happens next (timelines you can expect)

• Your report will be registered within 5 Business Days, acknowledged, and given an initial review.
• Depending on the nature of the matter, your case will be directed within AFSA to the relevant function.
• Substantive feedback will normally be given within 3 months; in complex cases, this may be extended up to 6 months.
• If the case is referred externally, you will be informed, and high-level status updates will generally be provided every 60 Business Days unless disclosure is legally restricted.

Anonymous reports: If an anonymous report lacks sufficient verifiable detail, the case may be temporarily suspended (with conditions to reopen once additional information is provided through the original channel).