Related provisions for DISP 1.3.1A

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Effective Period

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Effective and transparent procedures for the reasonable and prompt handling of complaints must be established, implemented and maintained by:(1) a respondent; and(2) a branch of a UKfirm in another EEA State.[Note: article 10 of the MiFID implementing Directive and article 6(1) of the UCITS implementing Directive]5
A contravention of a rule in SYSC 11 to 2SYSC 213 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 344