Related provisions for DISP 1.5.1

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

DISP 1.1.11RRP
A firm to which the conditions in DISP 1.1.7 R no longer apply is subject to DISP 1.2 - DISP 1.7.
DISP 1.5.2GRP
The records required by DISP 1.5.1 R are for the purposes of monitoring by the FSA and also to ensure that the firm is able to cooperate, as necessary, with the Financial Ombudsman Service. They should include:(1) the name of the complainant;(2) the substance of the complaint; 4(3) any correspondence between the firm and the complainant, including details of any redress offered by the firm; and44(4) documentation relating to the referral of a complaint under DISP 1.4.18 R.4