DISP 1 Annex 2 Application of DISP 1 to type of respondent / complaint7
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. 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 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 complainants45 |
5UK 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 |
5branch 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 |
|
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 |
5incoming 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 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 |
|
622electronic 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 |
622EEA 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 |
622incoming 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 |
622incoming 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 |
|
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 |
|
7complaints 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 |