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You are viewing the version of the document as on 2023-04-28.

respondent

  1. (1) (in DISP, FEES 5,149 CREDS 9 and GEN 7149151) a firm (except 133an192), payment service provider , electronic money issuer, CBTL firm,149 designated credit reference agency,156 designated finance platform, 168132or VJ participant covered by the Compulsory Jurisdiction173 or Voluntary Jurisdiction of the Financial Ombudsman Service.
  2. (2) (in DISP 2 and 3 and FEES 5) includes, as a result of 132section 226132of the Act, including as applied and modified by the Small and Medium Sized Business (Credit Information) Regulations156 and the Small and Medium Sized Business (Finance Platforms) Regulations168:
    1. (a) an unauthorised person who was formerly a firm in respect of a complaint about an act or omission which occurred at the time when the firm was authorised, provided that the compulsory jurisdiction rules were in force in relation to the activity in question;
    2. 132[deleted]132
    3. (c) a person who was formerly a payment service provider in respect of a complaint about an act or omission which occurred at the time when it was a payment service provider, provided that the compulsory jurisdiction rules were in force in relation to the activity in question;149156
    4. (d) a person who was formerly an electronic money issuer in respect of a complaint about an act or omission which occurred at the time when it was an electronic money issuer, provided that the compulsory jurisdiction rules were in force in relation to the activity in question; 173149156103
    5. 149
    6. 149(e) a person who was formerly a designated credit reference agency156 in respect of a complaint about an act or omission which occurred at the time when it was a designated credit reference agency, provided that the compulsory jurisdiction rules were in force in relation to the activity in 156question;173
    7. 173(ea) a person who was formerly a CBTL firm in respect of a complaint about an act or omission which occurred at the time when it was a CBTL firm, provided that the compulsory jurisdiction rules were in force in relation to the activity in question173; and
    8. 168(f) 173
    9. 168(g) a person who was formerly a designated finance platform in respect of a complaint about an act or omission which occurred at the time when it was a designated finance platform, provided that the compulsory jurisdiction rules were in force in relation to the activity in question.
  3. (3) (in DISP 2 and 3 and FEES 5) includes, in accordance with the Ombudsman Transitional Order, an unauthorised person subject to the Compulsory Jurisdiction in relation to relevant existing complaints and relevant new complaints.
  4. (4) (in DISP 2 and 3 and FEES 5) includes, in accordance with the Mortgage and General Insurance Complaints Transitional Order, a former firm subject to the Compulsory Jurisdiction in relation to relevant transitional complaints.
  5. 132(5) (in DISP 2 and 3 and FEES 5) includes, in accordance with article 11 of the Regulated Activities Amendment Order, unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant existing credit-related complaints and relevant new credit-related complaints.
  6. (6) (in DISP 2 and 3 and FEES 5) includes, in accordance with the Claims Management Order, an unauthorised person subject to the Compulsory Jurisdiction in relation to relevant claims management complaints.190
  7. (7) (in DISP 2 and 3 and FEES 5) includes, in accordance with the Funeral Plans Order, an unauthorised person subject to the Compulsory Jurisdiction in relation to a relevant transitional funeral plan complaint.207