Related provisions for DISP 1.1A.8

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DISP 1.1A.2RRP
For the MiFID complaints of a third country investment firm, the provisions marked “EU” shall apply as rules.
DISP 1.1A.6RRP
(1) Only the provisions in this section marked “EU” and DISP 1.1A.39R apply to a MiFID complaint received from a retail client, professional client or an eligible counterparty that is not an eligible complainant.(2) But where the retail client, professional client or eligible counterparty is also an eligible complainant, all of the provisions in this section apply.
DISP 1.1A.7RRP

The table below sets out how DISP 1.1A applies to MiFID complaints relating to:

  1. (1)

    the activities of a MiFID investment firm carried on from an establishment in the United Kingdom;

  2. (2)

    the equivalent business of a third country investment firm where the complaint is received from a retail client or an elective professional client;

  3. (3)

    activities carried on from a branch of a UK firm in another EEA State; and

  4. (4)

    activities carried on from a branch of an EEA firm in the United Kingdom.

Table: Application of DISP 1.1A to the MiFID business of firms in the UK, and the equivalent business of third country investment firms, branches of UK firms and UK branches of EEA firms

(1) Provision

(2) Provision applies to the MiFID business of a firm carried on from an establishment in the UK?

(3) Provision applies to the equivalent third country business of a third country investment firm where the complaint is received from a retail client or an elective professional client?

(4) Provision applies to a branch of a UK firm in another EEA State?

(5) Provision applies to a branch of an EEA firm in the UK?

1.1A.10EU

Yes

Yes

Yes

Yes

1.1A.11R

Yes

Yes

No

Yes

1.1A.12EU

Yes

Yes

Yes

Yes

1.1A.13EU

Yes

Yes

Yes

Yes

1.1A.14G

Yes

Yes

Yes

No

1.1A.15G

Yes

Yes

Yes

No

1.1A.16EU

Yes

Yes

Yes

Yes

1.1A.17EU

Yes

Yes

Yes

Yes

1.1A.18EU

Yes

Yes

Yes

Yes

1.1A.19G

Yes

Yes

Yes

No

1.1A.20R

Yes

Yes

No

Yes

1.1A.21G

Yes

Yes

No

Yes

1.1A.22R

Yes

Yes

No

No

1.1A.23R

Yes

Yes

No

Yes

1.1A.24EU

Yes

Yes

Yes

Yes

1.1A.25EU

Yes

Yes

Yes

Yes

1.1A.26R

Yes

Yes

No

Yes

1.1A.27G

Yes

Yes

No

Yes

1.1A.28R

Yes

Yes

No

Yes

1.1A.29EU

Yes

Yes

Yes

Yes

1.1A.30EU

Yes

Yes

Yes

Yes

1.1A.31R

Yes

Yes

No

Yes

1.1A.32G

Yes

Yes

No

Yes

1.1A.33G

Yes

Yes

No

Yes

1.1A.34G

Yes

Yes

No

Yes

1.1A.35R

Yes

Yes

No

Yes

1.1A.36R

Yes

Yes

No

Yes

1.1A.37EU

Yes

Yes

Yes

Yes

1.1A.38EU

Yes

Yes

Yes

Yes

1.1A.39R

Yes

Yes

No

Yes

1.1A.40R

Yes

Yes

No

No

1.1A.41G

Yes

Yes

No

No

1.1A.42R

No

No

Yes

No

Notes

(1) The provisions marked “EU” in the table are ‘directly applicable’ which means they apply to all MiFID investment firms in relation to MiFID complaints by virtue of the MiFID Org Regulation.

(2) This table should be read in conjunction with the rules and guidance in DISP 1.1A.1R to DISP 1.1A.6R.

DISP 1.1A.9GRP

References in column (1) to a word or phrase used in those provisions marked “EU” have the meaning indicated in column (2) of the table below:

(1)

(2)

“complaint”

MiFID complaint

“investment firm” and “firm”

MiFID investment firm

[Note: for the definition of “client” see recital (103) and article 4(1)(9) of MiFID]

MAR 9.1.3GRP
The market data services authorisation and supervision requirements in Title V of MiFID are implemented in the UK through a combination of:(1) HM Treasury legislation in the form of: (a) the DRS Regulations which set out a separate regulatory framework for persons providing one or more data reporting service in the UK; and(b) the MiFI Regulations which set out additional provisions addressing requirements imposed by MiFIR and EU regulations;(2) this chapter; and(3) EU regulations