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DISP 1.5 Complaints resolved by close of the next business day


The following rules do not apply to a complaint that is resolved by a respondent by close of business on the business day following its receipt:

  1. (1)

    the complaints time limit rules;

  2. (2)

    the complaints forwarding rules;

  3. (3)

    the complaints reporting rules;

  4. (4)

    the complaints record rule, if the complaint does not relate to MiFID business or collective portfolio management services for a UCITS scheme or an EEA UCITS scheme7; and6

  5. (5)

    the complaints data publication rules.6


Complaints falling within this section are still subject to the complaint resolution rules.

DISP 1.5.3G

For the purposes of this section:

  1. (1)

    a complaint received on any day other than a business day, or after close of business on a business day, may be treated as received on the next business day; and

  2. (2)

    a complaint is resolved where the complainant has indicated acceptance of a response from the respondent, with neither the response nor acceptance having to be in writing