| The aim of the guidance in the following table is to give the reader a quick overall view of the relevant requirements for notification and reporting. |
| It is not a complete statement of those requirements and should not be relied on as if it were. |
DISP Sch 2 Notification requirements
You are viewing DISP Sch 2 Notification requirements as of . DISP Sch 2 Notification requirements was last updated on 03/01/2018.
DISP Sch 2 Notification requirements
03/01/2018G
| Handbook reference | Matter to be notified | Contents of notification | Trigger event | Time allowed |
|---|---|---|---|---|
| DISP 1.1.12 R | Firm qualifies for exemption | Confirmation that a firm does not do business with eligible complainants and has no reasonable likelihood of doing so | Conditions in DISP 1.1.12 R apply | N/A |
| DISP 1.10.1 R (1) | Complaints report | Details | - 6 months preceding the accounting reference date | 30 business days |
| DISP 1.10.1 R (2) | Complaints report | Details | A year immediately following the firm's accounting reference date | 30 business days |
| DISP 1.10.9R | Single contact point | Details | At the time of authorisation or on subsequent change | Not specified |
| DISP 1.10A.4 R and (where relevant) DISP 1.1A.40R | Publication of complaints data summary/ total number of complaints (as appropriate), including MiFID complaints where relevant | Email confirmation of publication, containing also a statement that the data summary or total number of complaints (as appropriate) accurately reflects the report submitted to the FCA and stating where the summary/total number of complaints has been published | Upon publication of complaints data summary/ total number of complaints (as appropriate) | Immediately |
| DISP 1.11.5 R (1) | Member of Lloyd's qualifies for exemption | Confirmation by the Society of Lloyd's that a specified member of Lloyd's does not do business with eligible complainants and has no reasonable likelihood of doing so | [As above] | N/A |
| DISP 1.11.5 R (2) | End of exemption for member of Lloyd's | Confirmation by the Society of Lloyd's that the condition in DISP 1.1.12R no longer apply to a specified member of Lloyd's | Conditions in DISP 1.1.12R no longer apply | Not specified |
| DISP 1.11.6 R | Complaints report by Society of Lloyd's | Details | - 30 September - 31 March each year | One month |
| DISP 1.11.6D R | Publication of complaints data summary | Email confirmation of publication, containing also a statement that the data summary accurately reflects the report submitted to the FCA and stating where the summary has been published | Upon publication of complaints data summary | Immediately |