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Here to help with Regulation and Compliance
What is the DISP1 Ann1R Return?
Help with FCA’s GABRIEL Reporting System
Our firm has extensive regulatory reporting experience, so if your firm would like GABRIEL support or assistance in completing any of your regulatory reports or returns within GABRIEL, we would be happy to help.
Please feel free to contact us by phone or email.
Call by Telephone:
(020) 3813 2890
Q: What is the DISP1 Ann1R Report?
A: Regulated firms that undertake MiFID activities are required to report to the FCA information about complaints they have received. MiFID activity related complaints received from eligible counterparties, as well as professional and retail clients, all need to be recorded by firms and information in their regard provided to the regulator on the Complaints DISP1 Ann1R report that can be found in GABRIEL.
See also:
Should a firm breach this reporting requirement and fail to respond by the deadline, an administration fee of £250, or other action, may be taken against the firm.