DISP Sch 2 Notification requirements
The aim of the guidance in the following table is to give the reader a quick overall view of the relevant requirements for notification and reporting. |
It is not a complete statement of those requirements and should not be relied on as if it were. |
Handbook reference |
Matter to be notified |
Contents of notification |
Trigger event |
Time allowed |
| 411 | Firm qualifies for exemption |
Confirmation that a firm does not do business with eligible complainants and has no reasonable likelihood of doing so |
Conditions in DISP 1.1.12 R411 apply 411 |
|
| 411 | Complaints report |
Details |
- 6 months preceding the accounting reference date2 2 |
2 |
| 411 | Single contact point |
Details |
At the time of authorisation or on subsequent change |
Not specified |
Publication of complaints data summary |
Email confirmation of publication, containing also a statement that the data summary accurately reflects the report submitted to the FCA and stating where the summary has been published |
Upon publication of complaints data summary |
Immediately |
|
| 411 | Member of Lloyd's qualifies for exemption |
Confirmation by the Society of Lloyd's that a specified member of Lloyd's does not do business with eligible complainants and has no reasonable likelihood of doing so |
[As above] |
N/A |
| 411 | End of exemption for member of Lloyd's |
Confirmation by the Society of Lloyd's that the condition in DISP 1.1.7 no longer apply to a specified member of Lloyd's |
Conditions in DISP 1.1.7 no longer apply |
Not specified |
| 411 | Complaints report by Society of Lloyd's |
Details |
- 30 September - 31 March each year |
One month |
Publication of complaints data summary |
Email confirmation of publication, containing also a statement that the data summary accurately reflects the report submitted to the FCA and stating where the summary has been published |
Upon publication of complaints data summary |
Immediately |