Related provisions for DISP 1.10A.5

1 - 10 of 10 items.

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

DISP 1.1.3RRP
(1) Subject to DISP 1.1.5 R, this15 chapter applies to a firm in respect of complaints from eligible complainants concerning activities carried on from an establishment maintained by it or its appointed representative in the United Kingdom.15(2) For the MiFID complaints of a MiFID investment firm:23(a) DISP 1.1A applies; and23(b) the other provisions of this chapter apply only as set out in DISP 1.1A.23(c) [deleted]23(2A) For the MiFID complaints of a third country investment
DISP 1.1.5ARRP
14The complaints reporting rules and the complaints data publication rules do not apply to a credit union.
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
1332This 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 1.1.10FRRP
For complaints related to collective portfolio management services of an EEA UCITS management company for a UCITS scheme, DISP 1.1.3R (1) applies, except where modified as follows:(1) where the services are provided from a branch in the United Kingdom, the consumer awareness rules, complaints handling rules and complaints record rule apply in respect of complaints from Unitholders rather than from eligible complainants; and(2) this chapter, except the consumer awareness rules,
DISP 1.1.10GRRP
This chapter (except the complaints record rule, the complaints reporting rules and the complaints data publication rules) applies to CBTL firms in respect of complaints from eligible complainants19concerning activities carried on from an establishment maintained in the United Kingdom.1918
DISP 1.1.10IRRP
20This chapter (except the complaints record rule, the complaints reporting rules and the complaints data publication rules) applies to a designated credit reference agency 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 1.1.10KRRP
22This chapter (except the complaints record rule, the complaints reporting rules, and the complaints data publication rules) applies to a designated finance platform 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 1.1.15RRP
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 1.11.6BRRP
1The Society must publish the complaints data summary in the format set out in the complaints publication form in DISP 1 Annex 1B R omitting details as to the firms and brands/trading names covered by the summary.
DISP 1.11.6CRRP
1The deadlines for publication of the Society's complaints data summaries are:(1) 28 February for the summary of its report relating to the reporting period ending on 31 December of the previous year; and(2) 31 August for the summary of its report relating to the reporting period ending on 30 June of the same year.
DISP 1.11.6DRRP
1The Society must immediately confirm to the FCA, in an email submitted to complaintsdatasummary@fca.org.uk, that the complaints data summary accurately reflects the report submitted to the FCA, that the summary has been published and where it has been published.
DISP 1.11.6EGRP
1The Society may choose how it publishes the complaints data summary. However, the complaints data summary should be readily available. For this reason, the FCA recommends that the Society publishes the summary on its website. The Society may publish further information with the complaints data summary to aid understanding.
DISP 1.10A.2RRP
The complaints data summary required by DISP 1.10A.1 R must be published in the format set out in DISP 1 Annex 1B R.
DISP 1.10A.3RRP
(1) Where the firm's relevant reporting period (as defined in DISP 1.10.4 R or DISP 1.10.4A R as the case may be26) ends between 1 January and 30 June, the firm must publish the complaints data summary no later than 31 August of the same year.(2) Where the firm's relevant reporting period (as defined in DISP 1.10.4 R or DISP 1.10.4A R as the case may be26) ends between 1 July and 31 December, the firm must publish the complaints data summary no later than 28 February of the following
DISP 1.10A.4RRP
A firm must immediately confirm to the FCA , in an email submitted to complaintsdatasummary@fca.org.uk , that the complaints data summary or total number of complaints (as appropriate)26 accurately reflects the report submitted to the FCA , that the summary or total number of complaints (as appropriate)26 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 or total number of complaints (as appropriate)26 is published to any person who requests them.
DISP 1.10A.7GRP
Firms may choose how they publish the complaints data summary or total number of complaints (as appropriate)26. However, the summary or total number of complaints (as appropriate)26 should be readily available. For this reason, the FCA recommends that firms should publish the summary or total number of complaints (as appropriate)26 on their websites.
DISP 1.10A.10GRP
(1) 4To improve consumer awareness and to help firms compare their performance against their peers, the FCA publishes:(a) complaints data about the financial services industry as a whole; and(b) firm-level complaints data for those firms that are required to publish a complaints data summary or the total number of complaints (as appropriate) under DISP 1.10A.1R.(2) The FCA also publishes firm-level information giving context to the complaints data reported to it for those firms
DISP 1.10A.11GRP
4For firms reporting 500 or more complaints under DISP 1.10.1R(1) or 1000 or more complaints under DISP 1.10.1R(2) in the relevant reporting period, the FCA will publish the firm-level complaints data and information providing context to the complaints data reported to it either:(1) after the firm provides the appropriate consent in the complaints data report and confirms that the reported data accurately reflects the data which it will publish under DISP1.10A.1R; or(2) after
DISP 1.10A.12GRP
4For firms with only a limited permission that report complaints to the FCA under the reporting requirements in SUP 16.12, the FCA will publish the firm-level complaints data reported to it after the FCA receives an email from the firm under DISP 1.10A.4R. That email should confirm that the total number of complaints accurately reflects the report submitted to the FCA under SUP 16.12, that the total number of complaints has been published and where the information has been pu
DISP 1.1A.40RRP
The complaints data publication rules apply to the MiFID complaints of a firm.
DISP 1.1A.41GRP
The effect of the complaints data publication rules and DISP 1.1A.37EU is that, for the purposes of complying with those rules, a firm’s complaints data summary should include relevant data about any MiFID complaints received by the firm.
DISP App 3.1.2GRP
At step 1, the3 aspects of complaint handling dealt with in this appendix are how the firm should:(1) assess a complaint in order to establish whether the firm's conduct of the sale failed to comply with the rules, or was otherwise in breach of the duty of care or any other requirement of the general law (taking into account relevant materials published by the FCA, other relevant regulators, the Financial Ombudsman Service and former schemes). In this appendix this is referred
DISP 3.3.4RRP
The Ombudsman may dismiss a complaint413referred to the Financial Ombudsman Service before 9 July 2015 413without considering its merits if 413the Ombudsman413considers that:5(1) the complainant has not suffered (or is unlikely to suffer) financial loss, material distress or material inconvenience; or(2) the complaint is frivolous or vexatious; or(3) the complaint clearly does not have any reasonable prospect of success; or(4) the respondent has already made an offer of compensation
EG 10.6.4RP
1If the FCA, having considered those comments, remains of the view that the term is or would be unfair or non-transparent or purports, or would purport, to be exclusionary or restrictive, as described above, it will normally ask the person to undertake to stop using, relying on or recommending it or proposing its use. It should be noted that, under paragraphs 2(3), 6(3) and 7(1) of Schedule 3 to the CRA, such an undertaking must be notified by the FCA to the CMA and any relevant