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

4
DISP 1 Annex 2G

1.181

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.

3

Type of respondent/ complaint

DISP 1.1A Requirements for MiFID investment firms14

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 rules

DISP 1.10B Complaints reporting directions16

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

Does not apply14

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

Applies in relation to payment services for payment service users and in relation to electronic money for eligible complainants 16

firm in relation to MiFID complaints14 concerning MiFID business carried on from an establishment in the UK14

Applies for retail clients and professional clients, and (where relevant) eligible counterparties (see also DISP 1.1A.6R) 14

Does not apply14

Does not apply 14

DISP 1.7 applies as set out in DISP 1.1A14

Does not apply (but see DISP 1.1A.37EU) 14

Applies as set out in DISP 1.1A 14

Applies as set out in DISP 1.1A14

Does not apply16

UK 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

Does not apply14

Applies for unitholders

Applies for unitholders

Applies for eligible complainants

Applies for unitholders

Applies for eligible complainants

Applies for eligible complainants

Does not apply16

branch 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

Does not apply14

Applies for unitholders

Applies for unitholders

Does not apply

Applies for unitholders

Does not apply

Does not apply

Does not apply16

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) in another EEA State in relation to complaints concerning non-MiFID business

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

branch of a UK firm in another EEA State in relation to MiFID complaints14

Applies for retail clients and professional clients, and (where relevant) eligible counterparties (see also DISP 1.1A.6R)14

Does not apply

Does not apply14

Does not apply

Does not apply (but see DISP 1.1A.37EU) 14

Does not apply

Does not apply

Does not apply16

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) in relation to complaints concerning non-MiFID business

Does not apply14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply16

incoming branch of an EEA firm in relation to MiFID complaints14

Applies for retail clients and professional clients, and (where relevant) eligible counterparties (see also DISP 1.1A.6R) 14

Does not apply14

Does not apply

Applies as set out in DISP 1.1A14

Does not apply (but see DISP 1.1A.37EU)

Applies as set out in DISP 1.1A14

Does not apply

Does not apply16

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

Does not apply14

Applies for unitholders

Applies for unitholders

Applies for eligible complainants

Applies for unitholders

Applies for eligible complainants

Does not apply

Does not apply16

incoming 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 apply14

Does not apply

Does not apply

Applies for eligible complainants

Does not apply

Applies for eligible complainants

Does not apply

Does not apply16

incoming EEA firm providing cross border services14 from outside the UK

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

14equivalent business of a third country investment firm in relation to MiFID complaints

Applies as set out in DISP 1.1A 14

Does not apply

Does not apply

Applies as set out in DISP 1.1A

Does not apply (but see DISP 1.1A.37EU)

Applies as set out in DISP 1.1A

Applies as set out in DISP 1.1A

Does not apply16

branch of an overseas firm (in relation to all other14 complaints)

Does not apply14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply16

payment service provider in relation to complaints concerning payment services

Does not apply14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants16

Does not apply

Does not apply

Applies for payment service users16

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

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

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

Does not apply14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants16

Does not apply

Does not apply

Applies for payment service users16

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

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

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

Does not apply 14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants16

Does not apply

Does not apply

Applies for eligible complainants16

EEA 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 apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

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

Does not apply14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants16

Does not apply

Does not apply

Applies for eligible complainants16

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

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

VJ participant

Does not apply14

Applies for eligible complainants

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

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

Does not apply

Does not apply

Does not apply

Does not apply16

complaints relating to auction regulation bidding

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

a full-scope UK AIFM, small authorised UK AIFM 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)

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

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

Does not apply14

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

Does not apply16

a 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)

Does not apply14

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

Does not apply16

a 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)

Does not apply 14

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

Does not apply16

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

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

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

Does not apply14

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply16

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

Does not apply14

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

Does not apply

Does not apply16

a CBTL firm in relation to complaints14 concerning CBTL business

Does not apply 14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply

Does not apply16

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

Does not apply 14

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply

Does not apply16

designated finance platform in relation to complaints about providing specified information

Does not apply15

Applies for eligible complainants

Applies for eligible complainants

Applies for eligible complainants

Does not apply

Does not apply

Does not apply

17complaints relating to administering a benchmark

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply

Does not apply