Content Options

View Options

Status: You are viewing the version of the handbook as on 2009-03-31.

COAF 2.2 Application

COAF 2.2.1G

Anyone directly affected by the way in which the FSA, PIA, IMRO or SFA has carried out their functions, or anyone acting directly on such a person's behalf, may bring a complaint under the transitional complaints scheme, provided the complaint meets the requirements of the transitional complaints scheme (see COAF 2.3 (Coverage and scope of the scheme)). This includes firms and issuers of listed securities and any customer or prospective customer, whether an individual or a body corporate, or eligible counterparty2. Groups, such as trade associations, may bring a complaint under the transitional complaints scheme where they themselves have been directly affected by the FSA's actions or inactions. Groups may also bring complaints on behalf of one or more named members that have been directly affected by the FSA's actions or inactions, but cannot bring complaints on behalf of their members generally if it is not apparent that all of the group's members have been affected.1

2