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DISP 1.9 Complaints record rule

DISP 1.9.1RRP

A firm, including, in the case of MiFID business or collective portfolio management services for a UCITS scheme or an EEA UCITS scheme,2 a branch of a UK firm in another EEA state, must keep a record of each complaint received and the measures taken for its resolution, and retain that record for:

  1. (1)

    at least five years where the complaint relates to MiFID business or collective portfolio management services for a UCITS scheme or an EEA UCITS scheme;2 and

  2. (2)

    three years for all other complaints;

from the date the complaint was received.

[Note: article 10 of the MiFID implementing Directive and article 6(2) of the UCITS implementing Directive]2