Related provisions for DISP 1.1A.23

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

The explanation given by MiFID investment firms to clients or potential clients in accordance with DISP 1.1A.25EU 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)
On receipt of a MiFID complaint, a MiFID investment firm must:(1) send the complainant a prompt written acknowledgement providing early reassurance that it has received the MiFID complaint and is dealing with it; and (2) ensure the complainant is kept informed thereafter of the progress of the measures being taken for the MiFID complaint’s resolution. [Note: subject to a few minor changes reflecting its amended application, this provision replicates DISP 1.6.1R.]