Related provisions for DISP 4.1.1

1 - 11 of 11 items.
Results filter

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 1.1.15RRP
This chapter (except the complaints record rule and the complaints reporting rules) applies to VJ participants for complaints from eligible complainants as part of the standard terms.
DISP 1.1.16GRP
Although licensees and VJ participants are not required to comply with the complaints record rule, it is in their interest to retain records of complaints so that these can be used to assist the Financial Ombudsman Service should it be necessary.
The Ombudsman can consider a complaint under the Voluntary Jurisdiction if:422(1) it is not covered by the Compulsory Jurisdiction or the Consumer Credit Jurisdiction; and422(2) it relates to an act or omission by a VJ participant in carrying on one or more of the following activities:(a) an activity carried on after 28 April 1988 which:(i) was not a regulated activity at the time of the act or omission, but(ii) was a regulated activity when the VJ participant joined the Voluntary
422The Voluntary Jurisdiction covers an act or omission that occurred before the VJ participant was participating in the Voluntary Jurisdiction, and whether the act or omission occurred before or after commencement, either:(1) if the complaint could have been dealt with under a former scheme; or(2) under the agreement by the VJ participant in the Standard Terms.
122The following are not eligible complainants:(1) (in all jurisdictions) a firm, licensee or VJ participant whose complaint relates in any way to an activity which:(a) the firm itself has permission to carry on; or(ab) (b) the licensee or VJ participant itself conducts;and which is subject to the Compulsory Jurisdiction, the Consumer Credit Jurisdiction or the Voluntary Jurisdiction;(2) (in the Compulsory Jurisdiction) a complainant, other than a trustee of a pension scheme
The Voluntary Jurisdiction covers only complaints about the activities of a VJ participant carried on from an establishment:518(1) in the United Kingdom; or(2) elsewhere in the EEA if the following conditions are met:(a) the activity is directed wholly or partly at the United Kingdom (or part of it);(b) contracts governing the activity are (or, in the case of a potential customer, would have been) made under the law of England and Wales, Scotland or Northern Ireland; and(c) the
DISP App 1.1.5GRP
This appendix is also relevant to complaints which the Ombudsman may investigate under the Compulsory Jurisdiction or Voluntary Jurisdiction of the Financial Ombudsman Service established under Part XVI of the Act (The Ombudsman Scheme).2525
The purpose of this chapter is to set out rules and guidance on the scope of the Compulsory Jurisdiction, the Consumer Credit Jurisdiction and the Voluntary Jurisdiction, which are the Financial Ombudsman Service's threejurisdictions:(1) the Compulsory Jurisdiction is not restricted to regulated activities and covers:(a) certain complaints against firms (and businesses which were firms at the time of the events complained about); and(b) relevant complaints against former members