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

DISP 1 Annex 2G13/01/2018

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 EU 3 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 complaints 14 concerning MiFID business carried on from an establishment in the UK 14	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 complaints 14	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 complaints 14	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 services 14 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
14 equivalent 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 complainants 16	Does not apply	Does not apply	Applies for payment service users 16
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 complainants 16	Does not apply	Does not apply	Applies for payment service users 16
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 complainants 16	Does not apply	Does not apply	Applies for eligible complainants 16
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 complainants 16	Does not apply	Does not apply	Applies for eligible complainants 16
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 complaints 14 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

Content Options

View Options

More Resources:

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