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 respondent 12 44 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
12 441B	DISP 2.7.9 R14 45 14 45	14 45	In relation to a complaint concerning an act or omission before 1 November 2007, in DISP 2.7.9R (2) 14 45 substitute "an intermediate customer or market counterparty" for "(a) a professional client or (b) eligible counterparty". 14 45			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 14 45
6	DISP 2, DISP 3 8 43 and 14 45FEES 58 43 14 45	R	In DISP 2, DISP 3 and 14 45FEES 58 43references 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. 14 45			From commencement	Commencement
17	DISP 2, DISP 3 and 14 45FEES 58 43 8 43 14 45	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 and 8 43FEES 58 43 include unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant complaints 14 45, where applicable. 14 45 14 45			From commencement	Commencement
37A	DISP 2.8.7 R14 45 14 45	R	Nothing in DISP 2.8.7 R affects the position of a complaint which, on 31 May 2004, could not have been considered by the Ombudsman under DISP 2.8.2 R (2); or DISP 2.8.7R (1)(b) as it then stood (as DISP 2.3.6 R (1)(b)). 14 45 14 45			From 1 June 2004	Amended with effect from 1 June 2004
37B	DISP 2.8.7 R14 45 14 45	R	In the case of a complainant falling within DISP 2.8.7 R, (and whose time for referring a complaint under the rules as they stood before 1 June 200415 has not expired), time will expire in accordance with DISP 2.8.7 R 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 2.8.7R (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. 14 45 14 45 15			From 1 June 2004	Amended with effect from 1 June 2004
8	DISP 1 DISP 2 DISP 3 DISP 4 and14 45 FEES 58 43 8 43 14 45	R	In relation to relevant complaints, references in DISP 1, DISP 2, DISP 3, DISP 4 and FEES 58 43 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. 14 45 8 43 14 45			From commencement	Commencement
9	DISP 5.5.1 R	R	Expired9 9 9 9			9	9
102	DISP 1.10.1 R and DISP 1.10.2 R12 44 2	R2	Expired13 13 13			13
112	DISP 1.10.1 R and DISP 1.10.2 R12 44 2	R2	Expired13 13 13 13			13	13
122	DISP 1.10.1 R and DISP 1.10.2 R12 44 2	R2	Expired13 13				13
134	DISP 14	R4	Deleted13 13			13	13
144		G4	Expired13 13
156	FEES 5.4.1 R8 43 8 43	R6	Expired13 13			13	13
166	FEES 5.4.1 R8 43 8 43	G6	Expired13 13			13	13
177	DISP 1.3.12R - DISP 1.3.17R12 44 12 44	R7	Deleted13 13			13	13
1018	DISP 1.10.1 R and DISP 1.10.2 R, DISP 1.10.4 R12 44 and DISP 1 Annex 1 12 44	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 R12 44, a firm is not required to include such information in respect of relevant reporting periods (as set out in DISP 1.10.4 R12 44) ending before 1 October 2007; 12 44 12 44		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
14 4520	DISP 1.6.4 R	R	Where a complainant indicates after 6 July 2008 their acceptance of a response sent by the respondent under DISP 1.6.4 R before 6 July 2008 then that response need not have referred to the ultimate availability of the Financial Ombudsman Service.			From 6 July 2008 to 6 September 2008	6 July 2008

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 2.3.1 R14 45 14 45
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 R8 43.

8 43

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 R8 43, it must be calculated in the same way as that tariff base except that it takes into account only the firm's relevant business.

8 43

Select a Version:

Content Options:

View Options:

More Resources:

Alternative versions

DISP TP 1 Transitional provisions

DISP TP 1.1 Transitional Provisions table

DISP TP 1.2 Table Fee tariffs for industry blocks

DISP TP 1.3