DISP 1 Annex 2
The table below summarises the application of DISP 1. Where the table indicates that a particular section may apply, its application in relation to any particular activity or complaint is dependent on the detailed application provisions set out in DISP 1. |
2. |
In some cases the application of DISP 1 to firms depends on whether responsibility for the matter is reserved under a European Community instrument to an incoming EEA firm's Home State regulator. Reference should be made to the detailed application provisions set out in DISP 1. |
Type of respondent |
DISP 1.2 Consumer awareness rules |
DISP 1.3 Complaints handling rules |
DISP 1.4 - 1.8 Complaints resolution rules etc. |
DISP 1.9 Complaints record rule |
DISP 1.10 Complaints reporting rules |
firm in relation to complaints concerning non-MiFID business |
Applies for eligible complainants |
Applies for eligible complainants (DISP 1.3.4 G does not apply) |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
firm in relation to complaints concerning MiFID business |
Applies for eligible complainants |
Applies for retail clients (DISP 1.3.3 R does not apply) |
Applies for eligible complainants |
Applies for retail clients |
Applies for eligible complainants |
branch of a UK firm in another EEA State in relation to complaints concerning non-MiFID business |
Does not apply |
Does not apply |
Does not apply |
Does not apply |
Does not apply |
branch of a UK firm in another EEA State in relation to complaints concerning MiFID business |
Does not apply |
Applies for retail clients (DISP 1.3.3 R does not apply) |
Does not apply |
Applies for retail clients |
Does not apply |
incoming branch of an EEA firm in relation to complaints concerning non-MiFID business |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
incoming branch of an EEA firm in relation to complaints concerning MiFID business |
Applies for eligible complainants |
Does not apply |
Applies for eligible complainants |
Does not apply |
Applies for eligible complainants |
incoming EEA firm providing cross-border services from outside the UK |
Does not apply |
Does not apply |
Does not apply |
Does not apply |
Does not apply |
branch of an overseas firm (in relation to all complaints) |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants |
Applies for eligible complainants (DISP 1.3.4 G to DISP 1.3.5 G do not apply) |
Applies for eligible complainants (DISP 1.6.8 G does not apply) |
Does not apply |
Does not apply |
|
Applies for eligible complainants |
Applies for eligible complainants (DISP 1.3.4 G to DISP 1.3.5 G do not apply) |
Applies for eligible complainants (DISP 1.6.8 G does not apply) |
Does not apply |
Does not apply |