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DISP 1 Annex 2 Application of DISP 1 to type of respondent

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DISP 1 Annex 2G

1.201

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 EU3 instrument to an incoming EEA firm's Home State regulator. Reference should be made to the detailed application provisions set out in DISP 1.

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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

DISP 1.10A Complaints data publication rules4

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

Applies for eligible complainants4

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

Applies for eligible complainants4

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

Does not apply4

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

Does not apply4

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

Does not apply4

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

Does not apply4

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

Does not apply4

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 complainants4

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

Does not apply4

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

Does not apply4

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

Does not apply4

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

Does not apply4

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

Does not apply4

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

Does not apply4