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)
- (2)
the complaints forwarding rules;
- (3)
the complaints reporting rules;
6 - (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)
Complaints falling within this section are still subject to the complaint resolution rules.
For the purposes of this section:
- (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)
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