COAF 1
Complaints against the FSA
COAF 1.1
Introduction
- 01/12/2004
COAF 1.1.1
See Notes
- 03/09/2001
COAF 1.1.2
See Notes
- 01/10/2004
COAF 1.1.3
See Notes
- 01/10/2004
COAF 1.1.4
See Notes
- 03/09/2001
COAF 1.1.5
See Notes
- 01/10/2004
COAF 1.1.6
See Notes
- 03/09/2001
COAF 1.1.7
See Notes
- 03/09/2001
COAF 1.2
Application
- 01/12/2004
COAF 1.2.1
See Notes
COAF 1.2.2
See Notes
COAF 1.3
The Complaints Commissioner
- 01/12/2004
COAF 1.3.1
See Notes
- 01/10/2004
COAF 1.3.2
See Notes
COAF 1.3.3
See Notes
- 01/10/2004
COAF 1.3.4
See Notes
- 01/11/2005
COAF 1.4
Coverage and scope of the scheme
- 01/12/2004
COAF 1.4.1
See Notes
- 01/10/2004
Exclusions from the scheme
COAF 1.4.2
See Notes
- 01/10/2004
Circumstances under which the FSA will not investigate
COAF 1.4.2A
See Notes
- 01/10/2004
Complaints that are more appropriately dealt with in another way
COAF 1.4.3
See Notes
- 01/10/2004
Investigations that may be deferred
COAF 1.4.4
See Notes
- 01/10/2004
Time limits
COAF 1.4.6
See Notes
- 03/09/2001
Cost
COAF 1.4.7
See Notes
COAF 1.5
Procedure
- 01/12/2004
Telling complainants how the Complaints Scheme works
COAF 1.5.1
See Notes
- 03/09/2001
The FSA's initial analysis of complaints
COAF 1.5.1A
See Notes
- 01/10/2004
COAF 1.5.1B
See Notes
- 01/10/2004
Asking for information in writing
COAF 1.5.1C
See Notes
- 01/10/2004
'Fast track' complaints handling procedure
COAF 1.5.1D
See Notes
- 01/10/2004
COAF 1.5.1E
See Notes
- 01/10/2004
COAF 1.5.1F
See Notes
Handling of 'fast track' complaints referred to the Company Secretariat
COAF 1.5.1G
See Notes
'Non-fast track' complaints: the FSA's initial response
COAF 1.5.1H
See Notes
- 01/10/2004
Stage 1: Investigation of complaints by the FSA
COAF 1.5.2
See Notes
- 01/10/2004
COAF 1.5.3
See Notes
- 01/10/2004
What are the possible outcomes for the complainant?
COAF 1.5.4
See Notes
- 01/10/2004
COAF 1.5.5
See Notes
- 01/10/2004
COAF 1.5.6
See Notes
- 01/10/2004
When will the Complaints Commissioner investigate a complaint that the FSA has not investigated?
COAF 1.5.7
See Notes
- 01/10/2004
COAF 1.5.8
See Notes
- 01/10/2004
COAF 1.5.9
See Notes
- 01/10/2004
Stage 2: Conduct of investigations by the Complaints Commissioner
COAF 1.5.10
See Notes
- 01/10/2004
COAF 1.5.10A
See Notes
- 01/10/2004
COAF 1.5.11
See Notes
- 03/09/2001
COAF 1.5.12
See Notes
- 03/09/2001
COAF 1.5.13
See Notes
- 03/09/2001
COAF 1.5.14
See Notes
- 03/09/2001
COAF 1.5.15
See Notes
- 03/09/2001
COAF 1.5.16
See Notes
- 03/09/2001
COAF 1.5.17
See Notes
- 03/09/2001
COAF 1.5.18
See Notes
- 01/10/2004
Reports on investigations
COAF 1.5.19
See Notes
- 03/09/2001
COAF 1.5.20
See Notes
- 03/09/2001
COAF 1.5.21
See Notes
- 03/09/2001
COAF 1.5.22
See Notes
- 03/09/2001
COAF 1.5.23
See Notes
- 03/09/2001
Responding to the Complaints Commissioner
COAF 1.5.24
See Notes
- 01/10/2004
COAF 1.6
General
- 01/12/2004
Confidentiality
COAF 1.6.1
See Notes
- 03/09/2001
Reports
COAF 1.6.2
See Notes
- 01/10/2004
Export chapter as
COAF 2
Transitional complaints scheme
COAF 2.1
Introduction
- 01/12/2004
COAF 2.1.1
See Notes
- 03/09/2001
COAF 2.1.2
See Notes
- 03/09/2001
COAF 2.1.3
See Notes
- 03/09/2001
COAF 2.1.4
See Notes
- 03/09/2001
COAF 2.1.5
See Notes
- 01/10/2004
COAF 2.1.6
See Notes
- 03/09/2001
COAF 2.1.7
See Notes
- 03/09/2001
COAF 2.1.8
See Notes
- 03/09/2001
COAF 2.1.9
See Notes
- 01/10/2004
COAF 2.1.10
See Notes
- 03/09/2001
COAF 2.1.11
See Notes
- 03/09/2001
COAF 2.2
Application
- 01/12/2004
COAF 2.2.1
See Notes
COAF 2.3
Coverage and scope of the scheme
- 01/12/2004
COAF 2.3.1
See Notes
- 01/10/2004
Exclusions from the scheme
COAF 2.3.2
See Notes
- 01/10/2004
Circumstances under which the FSA will not investigate
COAF 2.3.2A
See Notes
- 01/10/2004
Complaints that are more appropriately dealt with in another way
COAF 2.3.3
See Notes
- 01/10/2004
Investigations that may be deferred
COAF 2.3.4
See Notes
- 01/10/2004
Time limits
COAF 2.3.6
See Notes
- 03/09/2001
Cost
COAF 2.3.7
See Notes
COAF 2.4
Procedure
- 01/12/2004
The FSA's initial response to complaints
COAF 2.4.1
See Notes
- 01/10/2004
COAF 2.4.1A
See Notes
- 03/09/2001
Putting complaints in writing
COAF 2.4.1B
See Notes
- 01/10/2004
Stage 1: Investigation of complaints by the FSA
COAF 2.4.2
See Notes
- 01/10/2004
COAF 2.4.3
See Notes
- 01/10/2004
What are the possible outcomes for the complainant?
COAF 2.4.4
See Notes
- 01/10/2004
COAF 2.4.5
See Notes
- 01/10/2004
COAF 2.4.6
See Notes
- 01/10/2004
When will the Complaints Commissioner investigate a complaint that the FSA has not investigated?
COAF 2.4.7
See Notes
- 01/10/2004
COAF 2.4.8
See Notes
- 01/10/2004
COAF 2.4.9
See Notes
- 03/09/2001
Stage 2: Conduct of investigations by the Complaints Commissioner
COAF 2.4.10
See Notes
- 01/10/2004
COAF 2.4.10A
See Notes
- 01/10/2004
COAF 2.4.11
See Notes
- 03/09/2001
COAF 2.4.12
See Notes
- 03/09/2001
COAF 2.4.13
See Notes
- 03/09/2001
COAF 2.4.14
See Notes
- 03/09/2001
COAF 2.4.15
See Notes
- 03/09/2001
COAF 2.4.16
See Notes
- 03/09/2001
COAF 2.4.17
See Notes
- 03/09/2001
Reports on investigations
COAF 2.4.18
See Notes
- 03/09/2001
COAF 2.4.19
See Notes
- 03/09/2001
COAF 2.4.20
See Notes
- 03/09/2001
COAF 2.4.21
See Notes
- 03/09/2001
Responding to the Complaints Commissioner
COAF 2.4.22
See Notes
- 01/10/2004
COAF 2.4.23
See Notes
- 03/09/2001
COAF 2.5
General
- 01/12/2004
Confidentiality
COAF 2.5.1
See Notes
- 03/09/2001
Reports
COAF 2.5.2
See Notes
- 01/10/2004
Transitional Provisions and Schedules
COAF TP 1
Transitional Provisions
(1) | (2) Material provision to which transitional provision applies | (3) | (4) Transitional provision | (5) Transitional provision: dates in force | (6) Handbook provision: coming into force |
1 | Every provision in COAF | G | The FSA and the Complaints Commissioner will continue to treat complaints received before 1 October 2004 in accordance with COAF as in force before amendment by the Complaints Against the FSA Scheme (Amendment) Instrument 2004. | From 1 October 2004 for eighteen months | 3 September 2001 |
- 01/12/2004
COAF Sch 1
Record keeping requirements
- 01/12/2004
COAF Sch 1.1
See Notes
There are no record keeping requirements in COAF. |
- 01/12/2004
COAF Sch 2
Notification requirements
- 01/12/2004
COAF Sch 2.1
See Notes
There are no notification requirements in COAF. |
- 01/12/2004
COAF Sch 3
Fees and other required payments
- 01/12/2004
COAF Sch 3.1
See Notes
There are no requirements for fees or other payments in COAF. |
- 01/12/2004
COAF Sch 4
Powers exercised
- 01/12/2004
COAF Sch 4.1
See Notes
The following powers and related provisions in or under the Act have been exercised by the FSA to make the Complaints against the FSA Scheme: | |
Paragraphs 7 (Arrangements for the investigation of complaints) and 8 (Investigation of complaints) of Schedule 1 (The Financial Services Authority) to the Act | |
Article 2(2) (Appointed days) of the Financial Services and Markets Act 2000 (Commencement No. 4 and Transitional Provisions) Order 2001 SI 2001/2364) | |
Article 18 (Transitional complaints against the Authority etc.) of the Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (SI 2001/2326) |
COAF Sch 5
Rights of action for damages
- 01/12/2004
COAF Sch 6
Rules that can be waived
- 01/12/2004