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Status: You are viewing the version of the handbook as on 2018-12-09.

MiFID complaint

    118any 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 or a redress determination:

      1. (a) which alleges that the complainant has suffered (or may suffer) financial loss, material distress or material inconvenience; and
      1. (b) either:
        1. (i) to which article 26 of the MiFID Org Regulation applies; or
        1. (ii) which concerns the equivalent business of a third country investment firm.
        1. [Note: For the application of article 26 of the MiFID Org Regulation, see articles 1(1), 1(3), 1(4), 39 and 41 of MiFID, article 1 of the MiFID Org Regulation, DISP 1.1A.3G and DISP 1.1A.4G]
        1. [Note: a MiFID complaint which falls within the jurisdiction of the Financial Ombudsman Service is a complaint]