Complaints against DPB firms

We investigate complaints about licensed firms in connection with certain types of investment business under the Financial Services and Markets Act 2000

Determinations

Determinations are records of the decisions made by the DPB Board and DPB Tribunal as to whether a licensed firm has breached one or more requirements of the DPB Handbook.

The determinations of complaints considered in accordance with Part 5 of the DPB Handbook are reported below in accordance with paragraph 5.44 of the DPB Handbook.