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 |
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1 |
R |
Expired9 9 |
9 | 9 | |||||
111A |
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 |
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| 1445 | 1445 | In relation to a complaint concerning an act or omission before 1 November 2007, in DISP 2.7.9R (2) 1445 substitute "an intermediate customer or market counterparty" for "(a) a professional client or (b) eligible counterparty". 1445 |
From 1 November 2007 |
1 November 2007 |
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2 |
R |
Expired9 9 |
9 | 9 | |||||
3 |
G |
Expired9 9 |
9 | 91445 | |||||
6 |
DISP 2, DISP 3 843 and 1445FEES 5843 1445 |
R |
In DISP 2, DISP 3 and 1445FEES 5843references 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. 1445 |
From commencement |
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17 |
DISP 2, DISP 3 and 1445FEES 5843 8431445 |
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 843FEES 5843 include unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant complaints1445, where applicable. 14451445 |
From commencement |
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37A |
1445 | 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)). 1445 1445 |
From 1 June 2004 |
Amended with effect from 1 June 2004 |
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37B |
1445 | 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. 1445 144515 |
From 1 June 2004 |
Amended with effect from 1 June 2004 |
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8 |
DISP 1 DISP 2 DISP 3 DISP 4 and1445 FEES 5843 8431445 |
R |
In relation to relevant complaints, references in DISP 1, DISP 2, DISP 3, DISP 4 and FEES 5843 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. 1445 8431445 |
From commencement |
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9 |
R |
Expired9 999 |
9 | 9 | |||||
102 |
R2 |
Expired13 1313 |
13 | ||||||
112 |
R2 |
Expired13 131313 |
13 | 13 | |||||
122 |
R2 |
Expired13 13 |
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134 |
R4 |
Deleted13 13 |
13 | 13 | |||||
144 |
G4 |
Expired13 13 |
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156 |
843 | R6 |
Expired13 13 |
13 | 13 | ||||
166 |
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 |
12441244 | 18 | 18 | ||||
1319 |
R |
Expired18 18 |
18 | 18 | |||||
R |
Expired18 18 |
18 | 18 | ||||||
1621 |
R |
A person is also an eligible complainant if: (a) it is a business with a group annual turnover of less than £1 million at the time it refers the complaint to the respondent; (b) the complaint relates to a contract or policy entered into by or for the benefit of the complainant before 1 November 2009; and (c) if the complaint had been made immediately before 1 November 2009 the respondent was subject to, or participated in, the Ombudsman's jurisdiction in respect of the activity to which the complaint relates. |
From 1 November 2009 |
1 November 2009 |
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1622 |
G |
Transitional provision 21R applies together with the other eligibility rules in DISP 2.7. So, for example, a person who is an eligible complainant under the transitional provision, will not be an eligible complainant if the complaint does not arise from matters relevant to one of the relationships set out in DISP 2.7.6 R. |
From 1 November 2009 |
1 November 2009 |
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DISP TP 1.2 Table Fee tariffs for industry blocks [deleted]18
DISP TP 1.3 [deleted]18
DISP TP 1.4 Payment Services Regulations 2009 transitioning payment institutions
171 |
R |
This TP applies in relation to a person who falls within regulation 122(1) (Transitional provisions: requirement to be authorised as a payment institution) or regulation 123(1) (Transitional provisions: requirement to be registered as a small payment institution) of the Payment Services Regulations (a "transitioning payment institution"). |
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2 |
R |
This TP applies from 1 November 2009 until 30 April 2011. |
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3 |
R |
DISP 1 (Treating complainants fairly) applies in relation to a transitioning payment institution as if the transitioning payment institution were a payment institution. |
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4 |
R |
The Ombudsman can consider a complaint that relates to an act or omission by a transitioning payment institution under the Compulsory Jurisdiction if: |
|
(1) |
it could consider that complaint under the Compulsory Jurisdiction if it related to a payment institution; and |
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(2) |
(where the transitioning payment institution is a licensee) the complaint relates to an act or omission in providing payment services. |
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5 |
G |
The effect of this transitional provision is to: |
|
(1) |
apply to transitioning payment institutions as though they were payment institutions the complaints-handling requirements in DISP 1.1 to DISP 1.8; and |
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(2) |
to bring them within the scope of the Compulsory Jurisdiction to the same extent as payment institutions. |
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6 |
G |
Complaints relating to payment services, consumer credit activities or a combination of both can be considered under the Compulsory Jurisdiction. However, transitioning payment institutions that are licensees will remain subject to the Consumer Credit Jurisdiction for complaints that relate only to consumer credit activities. |
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467 |
R |
The rules and guidance in FEES 5.5.1R, 5.5.6 R, FEES 5.5.7 R, 5.5.15 R, 5.7.2 R, 5.9.1 R and 5.9.2 G shall apply to transitioning payment institutions and persons that cease to be transitioning institutions in the same way as they apply to firms and firms that cease to be authorised. |
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