The Impact of NEWCOB on Complaints Handling

April 15, 2011

The FSA has consulted on a new complaints rulebook for firms (new DISP), as part of its shift towards principle-based regulation, alongside the general rewrite of its Conduct of Business rules.

This paper assesses the rule changes proposed in consultation paper CP06/19 and the rules relating specifically to the implementation of MiFID in the Policy Statement issued in January 2007; and explores how well they will improve customers’ experiences of making a complaint.

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