Related provisions for DISP 1.3.2

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

DISP 1.1.11RRP
A firm to which the conditions in DISP 1.1.7 R no longer apply is subject to DISP 1.2 - DISP 1.7.
DISP 1.6.1RRP
A firm must cooperate fully with the Ombudsman in the handling of complaints against it.
DISP 1.5.1RRP
A firm must make and retain records of complaints subject to DISP 1.4-DISP 1.6 for a minimum period of three years from the date of its receipt of the complaint.
DISP 1.5.2GRP
The records required by DISP 1.5.1 R are for the purposes of monitoring by the FSA and also to ensure that the firm is able to cooperate, as necessary, with the Financial Ombudsman Service. They should include:(1) the name of the complainant;(2) the substance of the complaint; 4(3) any correspondence between the firm and the complainant, including details of any redress offered by the firm; and44(4) documentation relating to the referral of a complaint under DISP 1.4.18 R.4
DISP 1.5.5GRP
For the purpose of DISP 1.5.4 R, upon completing the return, the firm should note that:33(1) 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.(2) Where a complaint has been upheld under DISP 1.5.4 R (3)(a), a firm should report any complaints to which it has given a final response which accepts the complaint, and, where appropriate, offers redress, even if
DISP 1.5.6RRP
For the purposes of DISP 1.5.4 R:(1) The relevant reporting periods are:33(a) the six months immediately following a firm's accounting reference date; and3(b) the six months immediately preceding a firm's accounting reference date.3(2) Reports are to be submitted to the FSA within 30 business days of the end of the relevant reporting period.33
DISP 1.4.1RRP
A firm must send a written acknowledgement of a complaint to the complainant3 within five business days of its receipt, giving the name or job title of the individual handling the complaint for the firm (together with details of the firm's internal complaint handling procedures).
DISP 1.4.3GRP
A firm should aim to resolve complaints at the earliest possible stage.
DISP 1.2.3GRP
Firms are not obliged to restrict their internal complaint handling procedures to expressions of dissatisfaction from eligible complainants. They may, if they wish, also establish procedures for handling complaints from other customers.