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DISP TP 1 Transitional provisions

DISP TP 1.1 Transitional Provisions table

(1)

(2) Material provision to which transitional provision applies

(3)

(4) Transitional provision

(5) Transitional provision: dates in force

(6) Handbook provision: coming into force

1

DISP 1.2.15 G

R

Expired9

9		 9 9

111A

DISP 1

R

A complaint received by a respondent1244 on or before 31 October 2007 should be handled, resolved, recorded and reported in accordance with the requirements of DISP as they stood at the date the complaint was received.

From 1 November 2007

1 November 2007

12441B

DISP 2.4.3

R

In relation to a complaint concerning an act or omission before 1 November 2007, in DISP 2.4.3 R (1)(a) substitute "an intermediate customer or market counterparty" for "(a) a professional client or (b) eligible counterparty".

From 1 November 2007

1 November 2007

2

DISP 1.5.4 R - DISP 1.5.7 R

R

Expired9

9		 9 9

3

DISP 1.5.4 R - DISP 1.5.7 R

G

Expired9

9		 9 9

4

DISP App 1

R

Firms are subject to DISP App 1in relation to relevant existing complaints.

From commencement

Commencement

5

DISP App 1

G

The Ombudsman Transitional Order makes special provision for the handling by FOS Ltd of "relevant existing complaints" (that is, complaints which the former schemes have partly completed at commencement). The arrangements for handling these complaints are set out in DISP App 1. (The handling of complaints which firms have partly completed at commencement is described at DISP 1.4.6 R.)

From commencement

Commencement

6

DISP 2 DISP 3 843FEES 5843 and DISP App 1

R

In DISP 2 DISP 3 FEES 5843 and DISP App 1references to a "firm" or "firms" include unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant complaints in accordance with the Ombudsman Transitional Order.

843

From commencement

Commencement

17

DISP 2 DISP 3 843FEES 5843 and DISP App 1

G

Under the Ombudsman Transitional Order, a relevant complaint is subject to the Compulsory Jurisdiction whether or not it is about a firm or an unauthorised person. Unauthorised persons are not subject to DISP 1, but references to "firm" in DISP 2 DISP 3, 843FEES 5843and DISP App 1 include unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant complaints, where applicable.

From commencement

Commencement

37A

DISP 2.3.6 R

R

Nothing in DISP 2.3.6 Raffects the position of a complaint which, on 31 May 2004, could not have been considered by the Ombudsman under DISP 2.3.1 R (1)(c); or DISP 2.3.6 R (1)(b) as it then stood.

From 1 June 2004

Amended with effect from 1 June 2004

37B

DISP 2.3.6 R

R

In the case of a complainant falling within DISP 2.3.6 R as amended by this instrument, (and whose time for referring a complaint under the rules as they stood before amendment has not expired), time will expire in accordance with the amended rule save that if the final date would otherwise be before 30 November 2004 an explanation of the final date will be in conformity with DISP 2.3.6 R(2) , provided it stipulates a final date which is not less than two months from the date on which the explanation is likely to be received by the complainant.

From 1 June 2004

Amended with effect from 1 June 2004

8

DISP 1 DISP 2 DISP 3 DISP 4 FEES 5843 and DISP App 1

843

R

In relation to relevant complaints, references in DISP 1, DISP 2, DISP 3, DISP 4,FEES 5843 and DISP App 1 to an "eligible complainant" include a person who is to be treated as an eligible complainant in accordance with the Ombudsman Transitional Order and references to a complaint shall be construed accordingly.

843

From commencement

Commencement

9

DISP 5.5.1 R

R

Expired9

999		 9 9

102

DISP 1.10.1 R and DISP 1.10.2 R12442

R2

Expired13

1313		 13

112

DISP 1.10.1 R and DISP 1.10.2 R12442

R2

Expired13

131313		 13 13

122

DISP 1.10.1 R and DISP 1.10.2 R12442

R2

Expired13

13

13

134

DISP 14

R4

Deleted13

13		 13 13

144

G4

Expired13

13

156

FEES 5.4.1 R843

843

R6

Expired13

13		 13 13

166

FEES 5.4.1 R843

843

G6

Expired13

13		 13 13

177

DISP 1.3.12R - DISP 1.3.17R1244

1244

R7

Deleted13

13		 13 13

1018

DISP 1.10.1 R and DISP 1.10.2 R, DISP 1.10.4 R1244 and DISP 1 Annex 1

1244

R

(1)

Solely in respect of information regarding any reversion activity or home purchase activity required to be reported in DISP 1.10.1 R and DISP 1.10.2 R1244, a firm is not required to include such information in respect of relevant reporting periods (as set out in DISP 1.10.4 R1244) ending before 1 October 2007;

12441244

1 April 2007 to 31 December 2008

Commencement

(2)

For the purpose of reporting complaints under generic product types in DISP 1 Annex 1;

(i)

complaints relating to home reversion plans must be reported under the heading of "Lifetime Mortgage"; and

(ii)

complaints relating to home purchase plans must be recorded under the heading of "Other Regulated Mortgage".

1319

DISP 1.10.1C R and DISP 1.10.1D G

R

Firms that submit a joint report before 31 July 2009 must clearly indicate in writing to the FSA the firms on whose behalf the report is submitted.

From 14 December 2007 to 31 July 2009

14 December 2007

DISP TP 1.2 Table Fee tariffs for industry blocks

Industry Block

Tariff Base

1-Deposit acceptors

Number of accounts relevant to the activities in DISP 2.6.1 R

2-Firms that undertake insurance activities, subject to prudential regulation only (excluding firms in blocks 13 & 15)

Relevant annual gross premium income

3-Society of Lloyd's

Flat fee

4-Firms that undertake insurance activities, subject to both prudential and conduct of business regulation (long term life insurers)

(excluding firms in block 15)

Relevant adjusted annual gross premium income

5-Fund managers (including those holding client money/assets and not holding client money/assets)

Relevant funds under management

6-Operators, Trustees and Depositaries of collective investment schemes

Flat fee

7-Firms dealing as principal

Number of relevant traders

8-Advisory arrangers, dealers or brokers (holding or controlling client money and/or assets)

Number of relevant approved persons (controlled functions 21, 22, 24, 25, 26)

9-Advisory arrangers, dealers or brokers (not holding or controlling client money and/or assets)

Number of relevant approved persons (controlled functions 21, 22, 24, 25, 26)

10-Corporate finance advisers

Number of relevant approved persons (controlled function 23)

11-Execution-only arrangers, dealers or brokers

Flat fee

12-Advisory only firms

Number of relevant approved persons (controlled functions 21, 22, 24, 25)

13-Cash plan health providers

Flat fee

15-Friendly Societies whose tax-exempt business represents 95% or more of their total relevant business

Flat fee

DISP TP 1.3

The industry blocks in Table 2 are the same as the equivalent activity group set out in part 7 of FEES 4 Annex 1 R843.

843

Where the tariff base in the table is defined in similar terms as the tariff base for the equivalent activity group set out in part 7 of FEES 4 Annex 1 R843, it must be calculated in the same way as that tariff base except that it takes into account only the firm's relevant business.

843