DISP Sch 2 Notification requirements

DISP Sch 2.1G01/04/2002

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.

DISP Sch 2.1G03/01/2018

Handbook reference	Matter to be notified	Contents of notification	Trigger event	Time allowed
DISP 1.1.12 R4 11 4 11	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 R4 11 apply 4 11	N/A4 11

DISP 1.10.1 R (1)7 12 4 11 7 12	Complaints report	Details	- 6 months preceding the accounting reference date 2 - accounting reference date 2 2	30 business days 2 7 12 2
7 12DISP 1.10.1 R (2)	Complaints report	Details	A year immediately following the firm's accounting reference date	30 business days
DISP 1.10.9R8 4 11 4 11	Single contact point	Details	At the time of authorisation or on subsequent change	Not specified
6DISP 1.10A.4 R and (where relevant) DISP 1.1A.40R9	Publication of complaints data summary/ total number of complaints 9 (as appropriate), including MiFID complaints where relevant9 7 12	Email confirmation of publication, containing also a statement that the data summary or total number of complaints (as appropriate)7 12 accurately reflects the report submitted to the FCA and stating where the summary/total number of complaints 7 12 has been published	Upon publication of complaints data summary/ total number of complaints (as appropriate)7 12	Immediately
DISP 1.11.5 R (1)4 11 4 11	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
DISP 1.11.5 R (2)4 11 4 11	End of exemption for member of Lloyd's	Confirmation by the Society of Lloyd's that the condition in DISP 1.1.12R 8 no longer apply to a specified member of Lloyd's 8	Conditions in DISP 1.1.12R 8 no longer apply 8	Not specified
DISP 1.11.6 R4 11 4 11	Complaints report by Society of Lloyd's	Details	- 30 September - 31 March each year	One month
6DISP 1.11.6D R	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

Select a Version:

Content Options:

View Options:

More Resources:

Alternative versions

DISP Sch 2 Notification requirements