DISP 1 Annex 2 Application of DISP 1 to type of respondent / complaint7

4
DISP 1 Annex 2G

1.171

The table below summarises the application of DISP 1. Where the table indicates that a particular section may apply, its application in relation to any particular activity or complaint is dependent on the detailed application provisions set out in DISP 1.

2.

In some cases the application of DISP 1 to firms depends on whether responsibility for the matter is reserved under an EU3 instrument to an incoming EEA firm's Home State regulator. Reference should be made to the detailed application provisions set out in DISP 1.

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Type of respondent/ complaint7

DISP 1.2 Consumer awareness rules

DISP 1.3 Complaints handling rules

DISP 1.4 - 1.8 Complaints resolution rules etc.

DISP 1.9 Complaints record rule

DISP 1.10 Complaints reporting rules

DISP 1.10A Complaints data publication rules4

firm 12 in relation to complaints concerning non-MiFID business (except as specifically provided for below)12

5

Applies for eligible complainants

Applies for eligible complainants (DISP 1.3.4 G does not apply)

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants4

firm in relation to complaints concerning MiFID business

Applies for eligible complainants

Applies for retail clients (DISP 1.3.3 R does not apply)

Applies for eligible complainants

Applies for retail clients

Applies for eligible complainants

Applies for eligible complainants45

5UK UCITS management company in relation to complaints concerning collective portfolio management services in respect of a UCITS scheme or an EEA UCITS scheme provided under the freedom to provide cross border services

Applies for Unitholders

Applies for Unitholders

Applies for eligible complainants

Applies for Unitholders

Applies for eligible complainants

Applies for eligible complainants

5branch of a UK UCITS management company in another EEA State in relation to complaints concerning collective portfolio management services in respect of an EEA UCITS scheme

Applies for Unitholders

Applies for Unitholders

Does not apply

Applies for Unitholders

Does not apply

Does not apply

branch of a UK firm (other than a UK UCITS management company when providing collective portfolio management services in respect of an EEA UCITS scheme)5 in another EEA State in relation to complaints concerning non-MiFID business

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply4

branch of a UK firm in another EEA State in relation to complaints concerning MiFID business

Does not apply

Applies for retail clients (DISP 1.3.3 R does not apply)

Does not apply

Applies for retail clients

Does not apply

Does not apply4

incoming branch of an EEA firm (other than an EEA UCITS management company when providing collective portfolio management services in respect of an EEA UCITS scheme)5 in relation to complaints concerning non-MiFID business

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply4

incoming branch of an EEA firm in relation to complaints concerning MiFID business

Applies for eligible complainants

Does not apply

Applies for eligible complainants

Does not apply

Applies for eligible complainants

Does not apply45

5 incoming branch of an EEA UCITS management company in relation to complaints concerning collective portfolio management services in respect of a UCITS scheme

Applies for Unitholders

Applies for Unitholders

Applies for eligible complainants

Applies for Unitholders

Applies for eligible complainants

Does not apply

5incoming EEA UCITS management company in relation to complaints concerning collective portfolio management services in respect of a UCITS scheme provided under the freedom to provide cross border services

Does not apply

Does not apply

Applies for eligible complainants

Does not apply

Applies for eligible complainants

Does not apply

incoming EEA firm providing cross-border services from outside the UK

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply4

branch of an overseas firm (in relation to all complaints)

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants4

payment service provider in relation to complaints concerning payment services

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply4

EEA branch of a UK payment service provider in relation to complaints concerning payment services

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply4

incoming branch of an EEA authorised payment institution in relation to complaints concerning payment services

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply4

incoming EEA authorised payment institution providing cross border payment services from outside the UK

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply4618

618electronic money issuer in relation to complaints concerning issuance of electronic money

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply

618EEA branch of an authorised electronic money institution or an EEA branch of any other UK electronic money issuer in relation to complaints concerning issuance of electronic money

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

618incoming branch of an EEA authorised electronic money institution in relation to complaints concerning issuance of electronic money

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply

618incoming EEA authorised electronic money institution providing cross border electronic money issuance services from outside the UK

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply919

VJ participant

Applies for eligible complainants

Applies for eligible complainants (DISP 1.3.4 G to DISP 1.3.5 G do not apply)

Applies for eligible complainants (DISP 1.6.8 G does not apply)

Does not apply

Does not apply

Does not apply4

7complaints relating to auction regulation bidding

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply8

8a full-scope UK AIFM, small authorised UK AIF or an incoming EEA AIFM, for complaints concerning AIFM management functions carried on for an AIF that is a body corporate (unless it is a collective investment scheme)12

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

12a depositary, for complaints concerning activities carried on for an authorised AIF

Applies for eligible complainants

Applies for eligible complainants (DISP 1.3.4G does not apply)

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

12a depositary, for complaints concerning activities carried on for an unauthorised AIF that is a charity AIF (other than a body corporate that is not a collective investment scheme)

Applies for eligible complainants

Applies for eligible complainants (DISP 1.3.4G does not apply)

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

12a depositary, for complaints concerning activities carried on for an unauthorised AIF that is a UK ELTIF (other than a body corporate that is not a collective investment scheme)

Applies for eligible complainants

Applies for eligible complainants (DISP 1.3.4G does not apply)

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

12a depositary, for complaints concerning activities carried on for an unauthorised AIF that is not a charity AIF or a UK ELTIF

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

8a depositary, for complaints concerning activities carried on for an unauthorised AIF that is a body corporate (other than a collective investment scheme)12.

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

8an incoming EEA AIFM, for complaints concerning AIFM management functions carried on for an authorised AIF or a UK ELTIF12 under the freedom to provide cross-border services

Applies for eligible complainants

Applies for eligible complainants (DISP 1.3.4G does not apply)12

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

10a CBTL firm in relation to complaints concerning CBTL business

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply

11designated credit reference agency in relation to complaints about providing credit information

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply

13designated finance platform in relation to complaints about providing specified information

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply