DISP - Complyport UK Consultancy Service

28 January 201626 June 2018
Latest News

Eligible Complainants: Professional Clients

As we know, changes to the Handbook were made in 2015 which meant that certain professional clients would be regarded as ‘consumers’ and hence able to have their complaints dealt […] [...]

28 September 201526 May 2016
Latest News

Quarterly Consultation

The FCA’s Quarterly Consultation CP15/28 proposes miscellaneous amendments to the Handbook ranging from the list of appropriate qualifications under TC to restricting the scope of section C of the RMAR […] [...]

31 July 201526 May 2016
Corporate Governance

Complaints

The previous Regulatory Roundup (issue 65) drew attention to changes to the ‘complaints rules’ in DISP which had the effect of classifying certain professional clients as eligible complainants and hence affording […] [...]

18 June 201526 May 2016
Corporate Governance

Complaints and Professional Contacts

Changes are being made to the Handbook which will mean that certain professional clients will be able to have their complaints dealt with under the Financial Ombudsman Service regime and […] [...]

Tag: DISP

Eligible Complainants: Professional Clients

Quarterly Consultation

Complaints

Complaints and Professional Contacts

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