The table below sets out how DISP 1.1A applies to MiFID complaints relating to:
- (1)
the activities of a MiFID investment firm carried on from an establishment in the United Kingdom;
- (2)
the equivalent business of a third country investment firm where the complaint is received from a retail client or an elective professional client;
- (3)
activities carried on from a branch of a UK firm in another EEA State; and
- (4)
activities carried on from a branch of an EEA firm in the United Kingdom.
Table: Application of DISP 1.1A to the MiFID business of firms in the UK, and the equivalent business of third country investment firms, branches of UK firms and UK branches of EEA firms
(1) Provision |
(2) Provision applies to the MiFID business of a firm carried on from an establishment in the UK? |
(3) Provision applies to the equivalent third country business of a third country investment firm where the complaint is received from a retail client or an elective professional client? |
(4) Provision applies to a branch of a UK firm in another EEA State? |
(5) Provision applies to a branch of an EEA firm in the UK? |
1.1A.10EU |
Yes |
Yes |
Yes |
Yes |
1.1A.11R |
Yes |
Yes |
No |
Yes |
1.1A.12EU |
Yes |
Yes |
Yes |
Yes |
1.1A.13EU |
Yes |
Yes |
Yes |
Yes |
1.1A.14G |
Yes |
Yes |
Yes |
No |
1.1A.15G |
Yes |
Yes |
Yes |
No |
1.1A.16EU |
Yes |
Yes |
Yes |
Yes |
1.1A.17EU |
Yes |
Yes |
Yes |
Yes |
1.1A.18EU |
Yes |
Yes |
Yes |
Yes |
1.1A.19G |
Yes |
Yes |
Yes |
No |
1.1A.20R |
Yes |
Yes |
No |
Yes |
1.1A.21G |
Yes |
Yes |
No |
Yes |
1.1A.22R |
Yes |
Yes |
No |
No |
1.1A.23R |
Yes |
Yes |
No |
Yes |
1.1A.24EU |
Yes |
Yes |
Yes |
Yes |
1.1A.25EU |
Yes |
Yes |
Yes |
Yes |
1.1A.26R |
Yes |
Yes |
No |
Yes |
1.1A.27G |
Yes |
Yes |
No |
Yes |
1.1A.28R |
Yes |
Yes |
No |
Yes |
1.1A.29EU |
Yes |
Yes |
Yes |
Yes |
1.1A.30EU |
Yes |
Yes |
Yes |
Yes |
1.1A.31R |
Yes |
Yes |
No |
Yes |
1.1A.32G |
Yes |
Yes |
No |
Yes |
1.1A.33G |
Yes |
Yes |
No |
Yes |
1.1A.34G |
Yes |
Yes |
No |
Yes |
1.1A.35R |
Yes |
Yes |
No |
Yes |
1.1A.36R |
Yes |
Yes |
No |
Yes |
1.1A.37EU |
Yes |
Yes |
Yes |
Yes |
1.1A.38EU |
Yes |
Yes |
Yes |
Yes |
1.1A.39R |
Yes |
Yes |
No |
Yes |
1.1A.40R |
Yes |
Yes |
No |
No |
1.1A.41G |
Yes |
Yes |
No |
No |
1.1A.42R |
No |
No |
Yes |
No |
Notes |
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(1) The provisions marked “EU” in the table are ‘directly applicable’ which means they apply to all MiFID investment firms in relation to MiFID complaints by virtue of the MiFID Org Regulation. |
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(2) This table should be read in conjunction with the rules and guidance in DISP 1.1A.1R to DISP 1.1A.6R. |
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