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; and2
- (2)
the equivalent business of a third country investment firm where the complaint is received from a retail client or an elective professional client.2
- (3)
[deleted]2
- (4)
[deleted]2
Table: Application of DISP 1.1A to the MiFID business of firms in the UK, and the equivalent business of third country investment firms2
(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? |
||
1.1A.10UK2 |
Yes |
Yes |
||
1.1A.11R |
Yes |
Yes |
||
1.1A.12UK2 |
Yes |
Yes |
||
1.1A.13UK2 |
Yes |
Yes |
||
1.1A.14G |
Yes |
Yes |
||
1.1A.15G |
Yes |
Yes |
||
1.1A.16UK2 |
Yes |
Yes |
||
1.1A.17UK2 |
Yes |
Yes |
||
1.1A.18UK2 |
Yes |
Yes |
||
1.1A.19G |
Yes |
Yes |
||
1.1A.20R |
Yes |
Yes |
||
1.1A.21G |
Yes |
Yes |
||
1.1A.22R |
Yes |
Yes |
||
1.1A.23R |
Yes |
Yes |
||
1.1A.24UK2 |
Yes |
Yes |
||
1.1A.25UK2 |
Yes |
Yes |
||
1.1A.26R |
Yes |
Yes |
||
1.1A.27G |
Yes |
Yes |
||
1.1A.28R |
Yes |
Yes |
||
1.1A.29UK2 |
Yes |
Yes |
||
1.1A.30UK2 |
Yes |
Yes |
||
1.1A.31R |
Yes |
Yes |
||
1.1A.32G |
Yes |
Yes |
||
1.1A.33G |
Yes |
Yes |
||
1.1A.34G |
Yes |
Yes |
||
1.1A.35R |
Yes |
Yes |
||
1.1A.36R |
Yes |
Yes |
||
1.1A.37UK2 |
Yes |
Yes |
||
1.1A.38UK2 |
Yes |
Yes |
||
1.1A.39R |
Yes |
Yes |
||
1.1A.40R |
Yes |
Yes |
||
1.1A.41G |
Yes |
Yes |
||
1.1A.42R |
No |
No |
||
Notes |
||||
(1) [deleted]2 |
||||
(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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