DISP 1 Annex 2 Application of DISP 1 to type of respondent / complaint7
201 | 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. |
33 |
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 (or in an EEA State, in the case of a TP firm with respect to services provided into the United Kingdom)19 |
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 |
Does not apply (but see DISP 1.1A.37UK1914 |
Does not apply16 |
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UK UCITS management company in relation to complaints concerning collective portfolio management services in respect of a UCITS scheme or an EEA UCITS scheme 19 |
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 |
14 | 16 | |||||||
14 | 16 | |||||||
14 | 14 | 14 | 14 | 16 | ||||
14 | 16 | |||||||
14 | 14 | 14 | 14 | 14 | 16 | |||
14 | 16 | |||||||
14 | 16 | |||||||
14 | 14 | 16 | ||||||
14equivalent business of a third country investment firm in relation to MiFID complaints |
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 |
14 | 16 | |||||||
14 | 16 | 16 | ||||||
14 | 16 | |||||||
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 |
14 | 16 | |||||||
14 | 16 | 16 | ||||||
14 | 16 | |||||||
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 or a small authorised UK AIFM19, 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 LTIF18 (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 LTIF18 |
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 |
14 | 16 | |||||||
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 |