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DISP TP 1 Transitional provisions

DISP TP 1.1 Transitional Provisions table

(1)

(2) Material provision to which transitional provision applies

(3)

(4) Transitional provision

(5) Transitional provision: dates in force

(6) Handbook provision: coming into force

1

DISP 1.2.15 G

R

Expired9

9
9 9

111A

DISP 1

R

A complaint received by a respondent1240 on or before 31 October 2007 should be handled, resolved, recorded and reported in accordance with the requirements of DISP as they stood at the date the complaint was received.

From 1 November 2007

1 November 2007

12401B

DISP 2.7.9 R1441

1441
1441

In relation to a complaint concerning an act or omission before 1 November 2007, in DISP 2.7.9R (2) 1441 substitute "an intermediate customer or market counterparty" for "(a) a professional client or (b) eligible counterparty".

1441

From 1 November 2007

1 November 2007

2

DISP 1.5.4 R - DISP 1.5.7 R

R

Expired9

9
9 9

3

DISP 1.5.4 R - DISP 1.5.7 R

G

Expired9

9
9 91441

6

DISP 2, DISP 3 839 and 1441FEES 5839

1441

R

In DISP 2, DISP 3 and 1441FEES 5839references to a "firm" or "firms" include unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant complaints in accordance with the Ombudsman Transitional Order.

1441

From commencement

Commencement

17

DISP 2, DISP 3 and 1441FEES 5839

8391441

G

Under the Ombudsman Transitional Order, a relevant complaint is subject to the Compulsory Jurisdiction whether or not it is about a firm or an unauthorised person. Unauthorised persons are not subject to DISP 1, but references to "firm" in DISP 2, DISP 3 and 839FEES 5839 include unauthorised persons subject to the Compulsory Jurisdiction in relation to relevant complaints1441, where applicable.

14411441

From commencement

Commencement

37A

DISP 2.8.7 R1441

1441

R

Nothing in DISP 2.8.7 R affects the position of a complaint which, on 31 May 2004, could not have been considered by the Ombudsman under DISP 2.8.2 R (2); or DISP 2.8.7R (1)(b) as it then stood (as DISP 2.3.6 R (1)(b)). 1441

1441

From 1 June 2004

Amended with effect from 1 June 2004

37B

DISP 2.8.7 R1441

1441

R

In the case of a complainant falling within DISP 2.8.7 R, (and whose time for referring a complaint under the rules as they stood before 1 June 200415 has not expired), time will expire in accordance with DISP 2.8.7 R save that if the final date would otherwise be before 30 November 2004 an explanation of the final date will be in conformity with DISP 2.8.7R (2), provided it stipulates a final date which is not less than two months from the date on which the explanation is likely to be received by the complainant. 1441

144115

From 1 June 2004

Amended with effect from 1 June 2004

8

DISP 1 DISP 2 DISP 3 DISP 4 and1441 FEES 5839

8391441

R

In relation to relevant complaints, references in DISP 1, DISP 2, DISP 3, DISP 4 and FEES 5839 to an "eligible complainant" include a person who is to be treated as an eligible complainant in accordance with the Ombudsman Transitional Order and references to a complaint shall be construed accordingly. 1441

8391441

From commencement

Commencement

9

DISP 5.5.1 R

R

Expired9

999
9 9

102

DISP 1.10.1 R and DISP 1.10.2 R12402

R2

Expired13

1313
13

112

DISP 1.10.1 R and DISP 1.10.2 R12402

R2

Expired13

131313
13 13

122

DISP 1.10.1 R and DISP 1.10.2 R12402

R2

Expired13

13

13

134

DISP 14

R4

Deleted13

13
13 13

144

G4

Expired13

13

156

FEES 5.4.1 R839

839

R6

Expired13

13
13 13

166

FEES 5.4.1 R839

839

G6

Expired13

13
13 13

177

DISP 1.3.12R - DISP 1.3.17R1240

1240

R7

Deleted13

13
13 13

1018

DISP 1.10.1 R and DISP 1.10.2 R, DISP 1.10.4 R1240 and DISP 1 Annex 1

1240

R

(1)

Solely in respect of information regarding any reversion activity or home purchase activity required to be reported in DISP 1.10.1 R and DISP 1.10.2 R1240, a firm is not required to include such information in respect of relevant reporting periods (as set out in DISP 1.10.4 R1240) ending before 1 October 2007;

12401240

1 April 2007 to 31 December 2008

Commencement

(2)

For the purpose of reporting complaints under generic product types in DISP 1 Annex 1;

(i)

complaints relating to home reversion plans must be reported under the heading of "Lifetime Mortgage"; and

(ii)

complaints relating to home purchase plans must be recorded under the heading of "Other Regulated Mortgage".

1319

DISP 1.10.1C R and DISP 1.10.1D G

R

Firms that submit a joint report before 31 July 2009 must clearly indicate in writing to the FSA the firms on whose behalf the report is submitted.

From 14 December 2007 to 31 July 2009

14 December 2007

144120

DISP 1.6.4 R

R

Where a complainant indicates after 6 July 2008 their acceptance of a response sent by the respondent under DISP 1.6.4 R before 6 July 2008 then that response need not have referred to the ultimate availability of the Financial Ombudsman Service.

From 6 July 2008 to 6 September 2008

6 July 2008

DISP TP 1.2 Table Fee tariffs for industry blocks

Industry Block

Tariff Base

1-Deposit acceptors

Number of accounts relevant to the activities in DISP 2.3.1 R1441

1441

2-Firms that undertake insurance activities, subject to prudential regulation only (excluding firms in blocks 13 & 15)

Relevant annual gross premium income

3-Society of Lloyd's

Flat fee

4-Firms that undertake insurance activities, subject to both prudential and conduct of business regulation (long term life insurers)

(excluding firms in block 15)

Relevant adjusted annual gross premium income

5-Fund managers (including those holding client money/assets and not holding client money/assets)

Relevant funds under management

6-Operators, Trustees and Depositaries of collective investment schemes

Flat fee

7-Firms dealing as principal

Number of relevant traders

8-Advisory arrangers, dealers or brokers (holding or controlling client money and/or assets)

Number of relevant approved persons (controlled functions 21, 22, 24, 25, 26)

9-Advisory arrangers, dealers or brokers (not holding or controlling client money and/or assets)

Number of relevant approved persons (controlled functions 21, 22, 24, 25, 26)

10-Corporate finance advisers

Number of relevant approved persons (controlled function 23)

11-Execution-only arrangers, dealers or brokers

Flat fee

12-Advisory only firms

Number of relevant approved persons (controlled functions 21, 22, 24, 25)

13-Cash plan health providers

Flat fee

15-Friendly Societies whose tax-exempt business represents 95% or more of their total relevant business

Flat fee

DISP TP 1.3

The industry blocks in Table 2 are the same as the equivalent activity group set out in part 7 of FEES 4 Annex 1 R839.

839

Where the tariff base in the table is defined in similar terms as the tariff base for the equivalent activity group set out in part 7 of FEES 4 Annex 1 R839, it must be calculated in the same way as that tariff base except that it takes into account only the firm's relevant business.

839