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Status: You are viewing the version of the handbook as on 2009-03-31.

DISP 1 Annex 2

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 a European Community instrument to an incoming EEA firm's Home State regulator. Reference should be made to the detailed application provisions set out in DISP 1.

Type of respondent

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

firm in relation to complaints concerning non-MiFID business

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

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

branch of a UK firm 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

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

incoming branch of an EEA firm 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

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

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

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

licensee

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

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