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

complaint

    (1)52(in COAF) any expression of dissatisfaction about the manner in which the FSA has carried out its statutory functions other than its legislative functions.3

    (2) (in DISP, except DISP 1.1 and the complaints handling rules and the complaints record rule in relation to MiFID business) any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, a person about the provision of, or failure to provide, a financial service, which:5824152

      1. (a) alleges that the complainant has suffered (or may suffer) financial loss, material distress or material inconvenience; and 58241
      1. (b) relates to an activity of that respondent, or of any other respondent with whom that respondent has some connection in marketing or providing financial services or products, which comes under the jurisdiction of the Financial Ombudsman Service. 58 241

    (3) (in DISP 1.1 and the complaints handling rules and the complaints record rule only in relation to MiFID business) any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, a person about the provision of, or failure to provide, a financial service, which alleges that the complainant has suffered (or may suffer) financial loss, material distress or material inconvenience.58241

    (4) (in DISP) reference to a complaint includes:73242

      1. (a) under all jurisdictions, part of a complaint; and73242
      1. (b) under the Compulsory Jurisdiction, all or part of a relevant complaint.73242