Related provisions for DISP 1.1A.4

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DISP 1.1A.1RRP
1This section: (1) applies to the MiFID complaints of a MiFID investment firm and does not apply to complaints that are not MiFID complaints; (2) also applies to the MiFID complaints of a third country investment firm received from a retail client or an elective professional client but does not apply to complaints that are not MiFID complaints; and (3) applies certain other provisions in DISP 1 to such complaints.
DISP 1.1A.3GRP
A MiFID complaint is, amongst other things, a complaint to which article 26 of the MiFID Org Regulation applies, being a complaint about:(1) the provision of investment services or ancillary services to a client by an investment firm;(2) the provision of one or more investment services to a client by a CRD credit institution; (3) selling structured deposits to clients, or advising clients on them, where the sale or advice is provided by an investment firm or a CRD credit institution;(4)
DISP 1.1A.5GRP
In contrast to the other provisions in DISP 1 which generally apply to complaints from eligible complainants, subject to DISP 1.1A.6R: (1) the obligations in this section that apply to the MiFID complaints of MiFID investment firms, apply to complaints from “clients” as defined in MiFID (which includes retail clients, professional clients and (in relation to eligible counterparty business) eligible counterparties; and(2) the obligations in this section that apply to the MiFID
DISP 1.1A.7RRP
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
DISP 1.1A.9GRP
References in column (1) to a word or phrase used in those provisions marked “EU” have the meaning indicated in column (2) of the table below: (1) (2)“complaint”MiFID complaint “investment firm” and “firm” MiFID investment firm [Note: for the definition of “client” see recital (103) and article 4(1)(9) of MiFID]
DISP 1.1.3RRP
(1) Subject to DISP 1.1.5 R, this15 chapter applies to a firm in respect of complaints from eligible complainants concerning activities carried on from an establishment maintained by it or its appointed representative in the United Kingdom.15(1A) This chapter also applies to a firm in respect of complaints from eligible complainants concerning activities which are, or which are ancillary to, regulated claims management activities.28(2) For the MiFID complaints of a MiFID investment
DISP 2.3.1ARRP
17The Ombudsman can also consider a complaint under the Compulsory Jurisdiction if it relates to an act or omission by: (1) an investment firm authorised under MiFID when providing investment services or ancillary services;(2) a CRD credit institution when providing one or more investment services;(3) an investment firm authorised under MiFID or a CRD credit institution when selling structured deposits to clients, or advising clients on them;(4) a collective portfolio management