DISP Sch 2 Notification requirements

DISP Sch 2.1G

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 2.1G

Handbook reference

Matter to be notified

Contents of notification

Trigger event

Time allowed

DISP 1.1.12 R411

411

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 R411 apply

411

N/A411

DISP 1.10.1 R (1)712

411712

Complaints report

Details

- 6 months preceding the accounting reference date2

- accounting reference date2

2

30 business days2712

2

712DISP 1.10.1 R (2)

Complaints report

Details

A year immediately following the firm's accounting reference date

30 business days

DISP 1.10.9R8

411411

Single contact point

Details

At the time of authorisation or on subsequent change

Not specified

6DISP 1.10A.4 R

Publication of complaints data summary/ total number of complaints (as appropriate)712

Email confirmation of publication, containing also a statement that the data summary or total number of complaints (as appropriate)712 accurately reflects the report submitted to the FCA and stating where the summary/total number of complaints712 has been published

Upon publication of complaints data summary/ total number of complaints (as appropriate)712

Immediately

DISP 1.11.5 R (1)411

411

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)411

411

End of exemption for member of Lloyd's

Confirmation by the Society of Lloyd's that the condition in DISP 1.1.12R 8 no longer apply to a specified member of Lloyd's

8

Conditions in DISP 1.1.12R 8 no longer apply

8

Not specified

DISP 1.11.6 R411

411

Complaints report by Society of Lloyd's

Details

- 30 September

- 31 March

each year

One month

6DISP 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