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Status: You are viewing the version of the handbook as on 2009-03-31.

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 R411

411

Complaints report

Details

- 6 months preceding the accounting reference date2

- accounting reference date2

2

30 business days2

2

DISP 1.10.8 G411

411

Single contact point

Details

At the time of authorisation or on subsequent change

Not specified

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 1.1.7 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

411

Complaints report by Society of Lloyd's

Details

- 30 September

- 31 March

each year

One month

FEES 5.4.1 R310

3101

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

310

N/A

By the end of February each year