DISP 1 Annex 2

DISP 1 Annex 2G01/12/2009

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 an EU 3 instrument to an incoming EEA firm's Home State regulator. Reference should be made to the detailed application provisions set out in DISP 1. 3

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
2 payment service provider in relation to complaints concerning payment services	Applies for eligible complainants	Applies for eligible complainants	Applies for eligible complainants	Does not apply	Does not apply
EEA branch of a UK payment service provider in relation to complaints concerning payment services	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply
incoming branch of an EEA authorised payment institution in relation to complaints concerning payment services	Applies for eligible complainants	Applies for eligible complainants	Applies for eligible complainants	Does not apply	Does not apply
incoming EEA authorised payment institution providing cross border payment services from outside the UK	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply
licensee	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
VJ participant	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

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DISP 1 Annex 2