DISP Sch 2 Notification requirements

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 1.1.12 R411

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

N/A411

DISP 1.10.1 R411

Complaints report

Details

- 6 months preceding the accounting reference date2

- accounting reference date2

30 business days2

DISP 1.10.8 G411

Single contact point

Details

At the time of authorisation or on subsequent change

Not specified

DISP 1.11.5 R (1)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

End of exemption for member of Lloyd's

Confirmation by the Society of Lloyd's that the condition in DISP 1.1.7 no longer apply to a specified member of Lloyd's

Conditions in DISP 1.1.7 no longer apply

Not specified

DISP 1.11.6 R411

Complaints report by Society of Lloyd's

Details

- 30 September

- 31 March

each year

One month

FEES 5.4.1 R310

Relevant business conducted

The total amount of relevant business (measured in accordance with the appropriate tariff base(s)) which the firm conducted as at or in the year to 31 December as appropriate, in relation to the tariff base for each of the relevant industry blocks set out in FEES 5 Annex 1 R310

N/A

By the end of February each year