DISP 1 Annex 2 Application of DISP 1 to type of respondent / complaint7

DISP 1 Annex 2G22/07/2013

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/ complaint7	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 (other than a UCITS management company when providing collective portfolio management services in respect of a UCITS scheme or an EEA UCITS scheme)5 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 complainants 4
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 complainants 4 5
5 UK UCITS management company in relation to complaints concerning collective portfolio management services in respect of a UCITS scheme or an EEA UCITS scheme provided under the freedom to provide cross border services	Applies for Unitholders	Applies for Unitholders	Applies for eligible complainants	Applies for Unitholders	Applies for eligible complainants	Applies for eligible complainants
5 branch of a UK UCITS management company in another EEA State in relation to complaints concerning collective portfolio management services in respect of an EEA UCITS scheme	Applies for Unitholders	Applies for Unitholders	Does not apply	Applies for Unitholders	Does not apply	Does not apply
branch of a UK firm (other than a UK UCITS management company when providing collective portfolio management services in respect of an EEA UCITS scheme)5 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 (other than an EEA UCITS management company when providing collective portfolio management services in respect of an EEA UCITS scheme)5 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 5
5 incoming branch of an EEA UCITS management company in relation to complaints concerning collective portfolio management services in respect of a UCITS scheme	Applies for Unitholders	Applies for Unitholders	Applies for eligible complainants	Applies for Unitholders	Applies for eligible complainants	Does not apply
5 incoming EEA UCITS management company in relation to complaints concerning collective portfolio management services in respect of a UCITS scheme provided under the freedom to provide cross border services	Does not apply	Does not apply	Applies for eligible complainants	Does not apply	Applies for eligible complainants	Does not apply
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 complainants 4
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 6 22
6 22 electronic money issuer in relation to complaints concerning issuance of electronic money	Applies for eligible complainants	Applies for eligible complainants	Applies for eligible complainants	Does not apply	Does not apply	Does not apply
6 22 EEA branch of an authorised electronic money institution or an EEA branch of any other UK electronic money issuer in relation to complaints concerning issuance of electronic money	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply
6 22incoming branch of an EEA authorised electronic money institution in relation to complaints concerning issuance of electronic money	Applies for eligible complainants	Applies for eligible complainants	Applies for eligible complainants	Does not apply	Does not apply	Does not apply
6 22incoming EEA authorised electronic money institution providing cross border electronic money issuance services from outside the UK	Does not apply	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	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
7 complaints relating to auction regulation bidding	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply8
8a full-scope UK AIFM, small authorised UK AIF or an incoming EEA AIFM, for complaints concerning AIFM management functions carried on for a closed-ended corporate AIF	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply
8a depositary, for complaints concerning activities carried on for an unauthorised AIF (where the AIF is not a charity AIF) or a closed-ended corporate AIF.	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply	Does not apply
8an incoming EEA AIFM, for complaints concerning AIFM management functions carried on for an authorised AIF under the freedom to provide cross-border services	Applies for eligible complainants	Applies for eligible complainants	Applies for eligible complainants	Applies for eligible complainants	Applies for eligible complainants	Does not apply

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DISP 1 Annex 2 Application of DISP 1 to type of respondent / complaint7