Related provisions for DISP 1.10.4

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CREDS 9.2.1RRP
A credit union must provide the FSA, once a year, with a report in the format set out in CREDS 9 Annex 1 R (Credit Union complaints return) which contains (for the relevant reporting period) information about:(1) the total number of complaints received by the credit union;(2) the number of complaints closed by the credit union:(a) within eight weeks of receipt; and(b) more than eight weeks after receipt;(3) the total number of complaints:(a) upheld by the credit union in the reporting
CREDS 9.2.2RRP
A credit union must not include in the report a complaint that has been forwarded in its entirety to another respondent under DISP 1.7 (the complaints forwarding rules).
CREDS 9.2.3GRP
Where a credit union has forwarded to another respondent only part of a complaint or where two respondents may be jointly responsible for a complaint, then the complaint should be reported by both firms.
CREDS 9.2.4RRP
CREDS 9.2.1 R does not apply to a complaint that is resolved by close of business on the business day following its receipt.
CREDS 9.2.6GRP
For the purpose of CREDS 9.2.1 R, and upon completing the return, the credit union should note that:(1) where a complaint could fall into more than one category, the complaint should be recorded against the category that the credit union considers to form the main part of the complaint;(2) where a complaint has been upheld under CREDS 9.2.1R (3)(a), a credit union should report any complaints to which it has given a final response which accepts the complaint and, where appropriate,
CREDS 9.2.7RRP
For the purposes of CREDS 9.2.1 R:(1) the relevant reporting period is from 1 April to 31 March each year; and(2) reports are to be submitted to the FSA within one month of the end of the relevant reporting period.[Note: a transitional provision applies to this rule: see CREDS TP 1.16.]1
CREDS 9.2.8GRP
Financial penalties may be imposed for the late submission of the complaints report required by CREDS 9.2.1 R.
CREDS 9.2.9RRP
For the purposes of making reports under CREDS 9.2.1 R, a closed complaint is a complaint:(1) where the credit union has sent a final response; or(2) where the complainant has positively indicated acceptance of the credit union's earlier response; or(3) where the complainant has failed to revert to the credit union within eight weeks of the credit union's most recent letter.
CREDS 9.2.10RRP
A report under this section must be given or addressed, and delivered, in the way set out in SUP 16.3.6 R to SUP 16.3.16 G (General provisions on reporting), except that, instead of the credit union's usual supervisory contact, the report must be given to or addressed for the attention of the Data Monitoring team2 of the FSA.2
CREDS 9.2.13GRP
The contact point in CREDS 9.2.1 R and CREDS 9.2.12 R can be by name or job title and may include, for example, a telephone number.
DISP 1.10.1RRP
Twice a year a firm must provide the FSA with a complete report concerning complaints received from eligible complainants. The report must be set out in the format in DISP 1 Annex 1.
DISP 1.10.1ARRP
1 A firm must not include in the report a complaint that has been forwarded in its entirety to another respondent under the complaints forwarding rules.11
DISP 1.10.1BGRP
1 Where a firm has forwarded to another respondent only part of a complaint or where two respondents may be jointly responsible for a complaint, then the complaint should be reported by both firms.11
DISP 1.10.1CRRP
1Firms that are part of a group may submit a joint report to the FSA . The joint report must contain the information required from all firms concerned and clearly indicate the firms on whose behalf the report is submitted. The requirement to provide a report, and the responsibility for the report, remains with each firm in the group.
DISP 1.10.1DGRP
1Not all the firms in the group need to submit the report jointly. Firms should only consider submitting a joint report if it is logical to do so, for example, where the firms have a common central complaints handling team and the same accounting reference date.
DISP 1.10.3GRP
For the purpose of DISP 1.10.2 R, when completing the return, the firm should take into account the following matters.(1) If a complaint could fall into more than one category, the complaint should be recorded in the category which the firm considers to form the main part of the complaint.(2) Under DISP 1.10.2R (3)(a), a firm should report any complaint to which it has given a response 1which upholds the complaint, even if any redress offered is disputed by the complainant. For
DISP 1.10.5RRP
Reports are to be submitted to the FSA within 30 business days of the end of the relevant reporting periods through, and in the electronic format specified in, the FSA Complaints Reporting System or the appropriate section of the FSA website.
DISP 1.10.6RRP
If a firm is unable to submit a report in electronic format because of a systems failure of any kind, the firm must notify the FSA , in writing and without delay, of that systems failure.
DISP 1.10.6ARRP
(1) 5If a firm does not submit a complete report by the date on which it is due, in accordance with DISP 1.10.5 R, the firm must pay an administrative fee of £250.(2) The administrative fee in (1) does not apply if the firm has notified the FSA of a systems failure in accordance with DISP 1.10.6 R.
DISP 1.10.9RRP
For the purpose of inclusion in the public record maintained by the FSA, a firm must:(1) provide the FSA, at the time of its authorisation, with details of a single contact point within the firm for complainants; and(2) notify the FSA of any subsequent change in those details when convenient and, at the latest, in the firm's next report under the complaints reporting rules.
DISP 1.1.5ARRP
14The complaints reporting rules and the complaints data publication rules do not apply to a credit union.
DISP 1.1.6GRP
CREDS 9 sets out rules for credit unions in relation to reporting complaints.1414
DISP 1.1.10ARRP
8This chapter (except the complaints record rule,9 the complaints reporting rules and the complaints data publication rules9) applies to payment service providers in respect of complaints from eligible complainants concerning activities carried on from an establishment maintained by it or its agent in the United Kingdom.9
DISP 1.1.10CRRP
1337This chapter (except the complaints record rule, the complaints reporting rules, and the complaints data publication rules) applies to electronic money issuers in respect of complaints from eligible complainants concerning activities carried on from an establishment maintained by it or its agent in the United Kingdom.
DISP 1.1.11RRP
Where the subject matter of a complaint is subject to a review directly or indirectly under the terms of the policy statement for the review of specific categories of FSAVC business issued by the FSA on 28 February 2000, the complaints resolution rules, the complaints time limit rules, the complaints record rule,9 the complaints reporting rules and the complaints data publication rules9 will apply only if the complaint is about the outcome of the review.9
DISP 1.1.11ARRP
12Where the subject matter of a complaint falls to be dealt with (or has properly been dealt with) under a consumer redress scheme, the complaints resolution rules, the complaints time limits rules, the complaints record rule and the complaints reporting rules do not apply.
DISP 1.1.15RRP
This chapter (except the complaints record rule,9 the complaints reporting rules and the complaints data publication rules)9 applies to VJ participants for complaints from eligible complainants as part of the standard terms.9
DISP 1.10A.1RRP
(1) 1Where, in accordance with DISP 1.10.1 R, a firm submits a report to the FSA reporting 500 or more complaints, it must publish a summary of the complaints data contained in that report (the complaints data summary).(2) Where, in accordance with DISP 1.10.1C R, a firm submits a joint report on behalf of itself and other firms within a group and that report reports 500 or more complaints, it must publish a summary of the complaints data contained in the joint report (the complaints
DISP 1.10A.4RRP
A firm must immediately confirm to the FSA , in an email submitted tocomplaintsdatasummary@fsa.gov.uk, that the complaints data summary accurately reflects the report submitted to the FSA , that the summary has been published and where it has been published.
DISP 1.10A.6RRP
Any firm covered by a joint report, other than the firm that submitted the joint report, must provide details of where the complaints data summary is published to any person who requests them.
DISP 1.11.5RRP
(1) A notification claiming exemption under DISP 1.1.12 R from the complaints reporting rules and the rules relating to the funding of the Financial Ombudsman Service must be given to the FSA by the Society on behalf of any member eligible for an exemption. (2) The Society must notify the FSA if the conditions relating to such an exemption no longer apply to a member who is exempt.
DISP 1.11.6RRP
The report to be sent to the FSA under the complaints reporting rules must be provided by the Society and must cover all complaints by policyholders against members falling within the scope of the complaints reporting rules.
DISP 1.11.6ARRP
1Where, in accordance with DISP 1.11.6 R, the Society submits a report to the FSA reporting 500 or more complaints, it must publish a summary of the complaints data contained in that report (the complaints data summary).
DISP 1.11.6DRRP
1The Society must immediately confirm to the FSA, in an email submitted to complaintsdatasummary@fsa.gov.uk, that the complaints data summary accurately reflects the report submitted to the FSA, that the summary has been published and where it has been published.
DISP 1.11.9GRP
Members will individually comply with this chapter if and only if all complaints by policyholders against members are dealt with under the Lloyd's complaints procedures. Accordingly, certain of the obligations under this chapter, for example the obligation to report on complaints received and the obligation to pay fees under the rules relating to the funding of the Financial Ombudsman Service (FEES 5), must be complied with by the Society on behalf of members. Managing agents
CREDS 9.1.2GRP
This chapter sets out rules and guidance for credit unions on completing reports concerning complaints received from eligible complainants. It replaces DISP 1.10 (Complaints reporting rules) and DISP 1.10A (Complaints data publication rules), which do not apply to credit unions (DISP 1.1.5A R).
COLL 9.3.2RRP
An operator of a scheme recognised under section 272 of the Act must ensure the prospectus:(1) contains a statement that "Complaints about the operation of the scheme may be made to the FSA."; and(2) states whether or not investors in the scheme would be covered by the compensation scheme, and if so, it must state how they are covered and who they would need to contact for further information.
SUP 12.4.5EGRP
(1) 1Under the relevant provisions in COBS, ICOBS7 and MCOB, the customer will receive details of how to complain to the appointed representative and, when a product is purchased, details of the complaints procedure for the product provider, insurer or home finance provider.2772(2) Under DISP 1.2.1 R4, a firm must among other things, supply summary details of its internal process for dealing promptly and fairly with complaints4 to the customer when it receives a complaint4. In
SUP 15.6.2GRP
SUP 15.6.1 R applies also in relation to rules outside this chapter, and even if they are not notification rules. Examples of rules and chapters to which SUP 15.6.1 R is relevant, are:(1) Principle 11, and the guidance on Principle 11 in SUP 2 (Information gathering by the FSA on its own initiative);(2) SUP 15 (Notifications to the FSA):(3) SUP 16 (Reporting requirements); (4) SUP 17 (Transaction reporting); 1(5) any notification rule (see Schedule 2 which contains a consolidated
COBS 20.5.3RRP
A firm must ensure that the terms of reference contain, as a minimum, terms having the following effect:(1) the role of the with-profits committee or advisory arrangement is, as relevant, to assess, report on, and provide clear advice and, where appropriate, recommendations to the firm'sgoverning body on:(a) the way in which each with-profits fund is managed by the firm and, if a PPFM is required, whether this is properly reflected in the PPFM;(b) if applicable, whether the firm
DISP 4.2.3RRP
The following rules and guidance apply to VJ participants as part of the standard terms, except where the context requires otherwise:(1) DISP 1 (Treating complainants4fairly), except:4(a) DISP 1.94(Complaints record rule);4(b) DISP 1.104(Complaints reporting rules); and4(c) DISP 1.114(Lloyd's);4(2) DISP 2 (Jurisdiction of the Financial Ombudsman Service), except:(a) DISP 2.3 (Compulsory Jurisdiction); and(b) DISP 2.4 (Consumer Credit Jurisdiction); and(3) DISP 3 (Complaint handling4