Related provisions for DISP 1.3.2

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DISP 1.5.1RRP
The following rules do not apply to a complaint that is resolved by a respondent by close of business on the business day following its receipt:(1) the complaints time limit rules; (2) the complaints forwarding rules; (3) the complaints reporting rules;6(4) the complaints record rule, if the complaint does not relate to MiFID business or collective portfolio management services for a UCITS scheme or an EEA UCITS scheme7; and6(5) the complaints data publication rules.6
DISP 1.5.2GRP
Complaints falling within this section are still subject to the complaint resolution rules.
DISP 1.1.11RRP
Where the subject matter of a complaint is subject to a review directly or indirectly under the terms of the policy statement for the review of specific categories of FSAVC business issued by the FSA on 28 February 2000, the complaints resolution rules, the complaints time limit rules, the complaints record rule,9 the complaints reporting rules and the complaints data publication rules9 will apply only if the complaint is about the outcome of the review.9
DISP 1.6.1RRP
On receipt of a complaint, a respondent must:(1) send the complainant a prompt written acknowledgement providing early reassurance that it has received the complaint and is dealing with it; and(2) ensure the complainant is kept informed thereafter of the progress of the measures being taken for the complaint's resolution.
DISP 1.6.8GRP
When assessing a respondent's response to a complaint, the FSA may have regard to a number of factors, including, the quality of response, as against the complaints resolution rules, as well as the speed with which it was made.
DISP 1.4.1RRP
Once a complaint has been received by a respondent, it must:(1) investigate the complaint competently, diligently and impartially;(2) assess fairly, consistently and promptly:(a) the subject matter of the complaint;(b) whether the complaint should be upheld;(c) what remedial action or redress (or both) may be appropriate;(d) if appropriate, whether it has reasonable grounds to be satisfied that another respondent may be solely or jointly responsible for the matter alleged in the
DISP 1.4.3GRP
The respondent should aim to resolve complaints at the earliest possible opportunity, minimising the number of unresolved complaints which need to be referred to the Financial Ombudsman Service.
DISP 1.9.1RRP
A firm, including, in the case of MiFID business or collective portfolio management services for a UCITS scheme or an EEA UCITS scheme,2 a branch of a UKfirm in another EEA state, must keep a record of each complaint received and the measures taken for its resolution, and retain that record for:(1) at least five years where the complaint relates to MiFID business or collective portfolio management services for a UCITS scheme or an EEA UCITS scheme;2 and(2) three years for all
DISP 2.8.1RRP
19The Ombudsman can only consider a complaint if:(1) the respondent has already sent the complainant its final response ; or(2) eight weeks have elapsed since the respondent received the complaint.
DISP 1.10.3GRP
For the purpose of DISP 1.10.2 R, when completing the return, the firm should take into account the following matters.(1) If 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) Under DISP 1.10.2R (3)(a), a firm should report any complaint to which it has given a response 1which upholds the complaint, even if any redress offered is disputed by the complainant. For
DISP 1.2.3GRP
These summary details should cover at least:(1) how the respondent fulfils its obligation to handle and seek to resolve relevant complaints; and(2) (where the complaint falls within the jurisdiction of the Financial Ombudsman Service)7 that, if the complaint is not resolved, the complainant may be entitled to refer it to the Financial Ombudsman Service.