Related provisions for DISP 1.1A.40

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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 effect of the complaints data publication rules and DISP 1.1A.37UK2 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.
(-1) This chapter applies to a TP firm. This rule demonstrates the contrary intention under GEN 2.2.26R.30(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:3015(a) in the United Kingdom; or30(b) in an EEA State, in the case of a TP firm with respect to services provided into the United Kingdom.30(1A) This chapter