Related provisions for DISP 1.7.1

1 - 12 of 12 items.

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

DISP 1.6.2RRP
Cooperation with the Ombudsman includes, but is not limited to, producing requested documents, adhering to any specified time limits, attending hearings when requested to do so and complying promptly with any settlements or awards.
DISP 3.2.5RRP
Where the Ombudsman considers that the complaint or the complainant may be ineligible under the jurisdiction rules (see DISP 2 (Jurisdiction of the Financial Ombudsman Service)) he must give the complainant an opportunity to make representations before he reaches his decision and he must give reasons to the complainant for that decision and inform the firm of his decision.
DISP 3.2.6RRP
DISP 3.2.5 R applies without prejudice to a firm's right to raise the issue of eligibility subsequently.
DISP 1.5.5GRP
Where a complaint could fall into more than one category, the complaint should be recorded in the category which the firm considers to form the main part of the complaint.
DISP 1.5.6RRP
For the purposes of DISP 1.5.4 R:(1) the relevant reporting periods are from 1 April to 30 September and from 1 October to 31 March each year; and(2) reports are to be submitted to the FSA within one month of the end of the relevant reporting period.
DISP 1.2.1RRP
A firm, A,4 must have in place and operate appropriate and effective internal complaint handling procedures (which must be written down) for:(1) handling any expression of dissatisfaction, whether oral or written, and whether justified or not, from or on behalf of an eligible complainant about A's4 provision of, or failure to provide, a financial service; and44(2) referring to another firm, B, expressions of dissatisfaction about B's services, if A markets (or has marketed) B's
GEN 4.4.1RRP
(1) If, in any communication:(a) made to a private customer or, in the case of a communication relating to non-investment insurance contracts, a retail customer,1(b) in connection with a regulated activity carried on from an establishment of the firm (or its appointed representative) that is not in the United Kingdom;the firm indicates that it is an authorised person, it must also, where relevant, and with equal prominence, give the information in (2) in writing.(2) The information