Related provisions for DISP App 1.3.3
1 - 19 of 19 items.
The explanation given by MiFID investment firms to clients or potential clients in accordance with DISP 1.1A.25UK2 must also:
(1) refer to the fact that the complainant has made a MiFID complaint and inform the complainant that the MiFID investment firm now considers the MiFID complaint to have been resolved;(2)
inform the complainant that if, still dissatisfied with the resolution of the MiFID complaint, the complainant may be able to refer it to the Financial Ombudsman Service;
(3)
The explanation given by MiFID investment firms to clients or potential clients in accordance with DISP 1.1A.30UK2 must also:(1) enclose a copy of the Financial Ombudsman Service's standard explanatory leaflet;
(2) provide the website address of the Financial Ombudsman Service;(3)
inform the complainant that if, still dissatisfied with the respondent's response, the complaint may now be referred to the Financial Ombudsman Service; and
(4) indicate whether or not the respondent
Subject to DISP 1.6.2AR, the5respondent must, by the end of eight weeks after its receipt of the complaint, send the complainant:(1) a 'final response', being a written response from the respondent which:3939(a) accepts the complaint and, where appropriate, offers redress or remedial action; or(b) offers redress or remedial action without accepting the complaint; or(c) rejects the complaint and gives reasons for doing so;and which:(d) encloses a copy of the Financial Ombudsman
5Where a complaint is an EMD complaint or a PSD complaint, the respondent must:(1) send a final response to the complainant by the end of 15 business days after the day on which it received the complaint; or(2) in exceptional circumstances, if a final response cannot be given in accordance with paragraph (1) for reasons beyond the control of the respondent:(a) send a holding response to the complainant by the end of 15 business days after the day on which it received the complaint,
DISP 1.6.2 R does not apply if the complainant has already indicated in writing acceptance of a response by the respondent, provided that the response:28(1) informed the complainant how to pursue his complaint with the respondent if he remains dissatisfied; 28410(2) referred to the ultimate availability of the Financial Ombudsman Service if he remains dissatisfied with the respondent's response;28(3) enclosed a copy of the Financial Ombudsman Service standard explanatory leaflet;410(4)
28The information regarding the Financial Ombudsman Service,5 required to be provided in responses sent under the complaints time limit rules (DISP 1.6.2 R, DISP 1.6.2AR and DISP 1.6.4 R),5 should be set out clearly, comprehensibly, in an easily accessible way and 410prominently within the text of those responses.3939[Note: article 13 of the ADR Directive]410
811In addition to sending a complainant a summary resolution communication, a respondent may also use other methods to communicate the information referred to in DISP 1.5.4R(1) to (5) where–(1) the respondent considers that doing so may better meet the complainant’s needs; or(2) the complainant and respondent have already been using another method to communicate about the complaint.
19The Ombudsman can only consider a complaint if:(1) the respondent has already sent the complainant its final response or summary resolution communication; or51212(2) in relation to a complaint that is not an EMD complaint or a PSD complaint,8 eight weeks have elapsed since the respondent received the complaint; or3(2A) in relation to a complaint that is an EMD complaint or a PSD complaint:8(a) 15 business days have elapsed since the respondent received the complaint and the
A respondent that has reasonable grounds to be satisfied that another respondent may be solely or jointly responsible for the matter alleged in a complaint may forward the complaint, or the relevant part of it, in writing to that other respondent, provided it: (1) does so promptly; (2) informs the complainant promptly in a final response of why the complaint has been forwarded by it to the other respondent, and of the other respondent's contact details; and(3) where jointly responsible
To aid consumer awareness of the protections offered by the provisions in this chapter, respondents must:(1) publish appropriate information regarding their internal procedures for the reasonable and prompt handling of complaints;616616(2) refer eligible complainants to the availability of this information:616556165(a) 5in relation to a payment service, in the information on out-of-court complaint and redress procedures required to be provided or made available under regulations
The firm (or, where applicable, a successor) must as soon as reasonably practicable, and no later than 29 November 2017, send a written communication to the complainant which:(1) informs the complainant that, despite having already made a complaint in relation to the sale of a payment protection contract, they can make a further complaint against the CCA lender in relation to a failure to disclose commission;(2) makes clear the identity of the CCA lender, where this is known to
The obligation to send a written communication does not apply where, in relation to the relevant payment protection contract the firm, or where appropriate the Financial Ombudsman Service, has previously considered, or indicated to the complainant in writing that it will consider, a complaint on the basis of a failure to disclose profit share and/or commission.
(1) If, in any communication:(a) made to:222(i) 2(in relation to a non-investment insurance contract) aconsumer4;4(ii) 2(in relation to a home finance transaction) a customer; or(iii) 2(in all other cases) a retail client3; and3(b) in connection with a regulated activity carried on from an establishment of the firm (or its appointed representative) that is not in the United Kingdom;the firm indicates that it is an authorised person, it must also, where relevant, and with equal