Related provisions for GEN 7.1.3

1 - 10 of 10 items.

Search Term(s)

Filter by Topics

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 1.1A.24UKRP
2When handling a complaint, investment firms shall communicate with clients or potential clients clearly, in plain language that is easy to understand and shall reply to the complaint without undue delay. [Note: article 26(4) of the MiFID Org Regulation]
DISP 1.1A.25UKRP
2Investment firms shall communicate the firm’s position on the complaint to clients or potential clients and inform the clients or potential clients about their options, including that they may be able to refer the complaint to an alternative dispute resolution entity, as defined in regulation 4 of the ADR Regulations,2 or that the client may be able to take civil action. [Note: article 26(5) of the MiFID Org Regulation. See the ADR Directive.2]
DISP 1.1A.29UKRP
2When handling a complaint, investment firms shall communicate with clients or potential clients clearly, in plain language that is easy to understand and shall reply to the complaint without undue delay. [Note: article 26(4) of the MiFID Org Regulation]
DISP 1.1A.30UKRP
2 Investment firms shall communicate the firm’s position on the complaint to clients or potential clients and inform the clients or potential clients about their options, including that they may be able to refer the complaint to an alternative dispute resolution entity, as defined in regulation 4 of the ADR Regulations,2 or that the client may be able to take civil action. [Note: article 26(5) of the MiFID Org Regulation. See the ADR Directive.2]
SYSC 10A.1.9RRP
A MiFID optional exemption firm that provides services solely or mainly to retail clients is not required to comply with the requirements of SYSC 10A.1.6R, SYSC 10A.1.7R and SYSC 10A.1.11R in relation to telephone conversations, subject to compliance with the following requirements:(1) a telephone conversation that would be subject to SYSC 10A.1.6R must be recorded instead using a written minute or note; and(2) the minute or note must include all relevant, and at least the following,