Related provisions for DISP 2.1.4

1 - 7 of 7 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 3.2.1RRP
On receipt of a complaint (and subsequently if necessary) the Ombudsman must have regard to the following matters:(1) whether or not the complaint meets the criteria in DISP 2.2 (Which complaints can be dealt with under the Financial Ombudsman Service?);(2) whether or not the complaint is within the time limits in DISP 2.3 (Time limits for referral of complaints to the Financial Ombudsman Service);(3) whether or not the complainant is an eligible complainant; and(4) whether or
DISP 3.2.3RRP
Where the firm or licensee4 has not had the eight weeks provided for under DISP 1.4.5 R to consider the complaint, the Ombudsman will refer the complaintto the firm, unless the firm has already issued a final response.
DISP 3.2.4RRP
Where a firm or licensee4 fails to send a complainant a final response by the end of eight weeks, the Ombudsman may consider the complaint.
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 or licensee4 of his decision.
DISP 3.2.6RRP
DISP 3.2.5 R applies without prejudice to a firm's or licensee's4 right to raise the issue of eligibility subsequently.
DISP 2.1.1GRP
This chapter applies to the Ombudsman, to firms (except UCITS qualifiers), to licensees17 and to VJ participants.
DISP 2.1.2GRP
It is also relevant to those who might wish to refer a complaint to the Financial Ombudsman Service.(2) relevant new complaints about events before commencement but referred to the Financial Ombudsman Service after commencement under the Ombudsman Transitional Order; and(3) relevant transitional complaints referred to the Financial Ombudsman Service after the relevant commencement date under the Mortgages and General Insurance Complaints Transitional Order.
DISP 4.2.3RRP
DISP 1.5.1 R contains a requirement for a firm in the Compulsory Jurisdiction to 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 a complaint. Although this requirement is not applied to VJ participants, they may need to keep records of complaints for sufficient time to enable them to provide the Ombudsman with necessary information in the event of a complaint being referred to the Financial
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.
DISP 2.2.1GRP
The following conditions will need to be satisfied before a complaint (other than a relevant new complaint or relevant transitional complaint) can be dealt with under the Financial Ombudsman Service:1(1) the complainant must be an eligible complainant (see DISP 2.4);(2) the firm, licensee5 or VJ participant about which the complaint is made must be one which is subject to either the Compulsory Jurisdiction, the Consumer Credit Jurisdiction5 or the Voluntary Jurisdiction, as appropriate;(3)