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.12
Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.
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Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.