This Complaints Procedure Manual has been updated to reflect the FCA’s changes to complaints reporting from 2027. It is designed to help firms manage complaints efficiently and in line with the DISP rules, providing a clear and structured process for identifying, handling, and resolving complaints. Responsibilities, key steps, and best practice are outlined to ensure consistency and transparency across the firm.
The manual also explains how management information can be used to demonstrate that the firm is embedding the Consumer Duty and delivering fair outcomes for all customers, including those in vulnerable circumstances.
For firms looking to streamline recording and monitoring, our Complaints Register is available to download. It has also been updated to capture complaint types, products, vulnerable customers, and related Consumer Duty outcomes, making it a practical tool to support the processes described in this manual.
Together, the manual and register provide a comprehensive approach to complaints handling, helping firms maintain robust oversight and prepare for the FCA’s updated reporting requirements.
FORMAT: All documents are downloadable via email upon receipt of payment.
Written & reviewed by the Ecompli founder — With over 20 years in financial services and having founded Ecompli in 2006, our compliance documents are written by a specialist with hands-on expertise in FCA regulation across the mortgage, general insurance, equity release, and insurance claims handling sectors. Every guide and template is personally developed to turn complex regulatory requirements into clear, practical tools your firm can actually use.
There are plenty of free templates and AI-generated documents available online. The challenge is knowing whether they genuinely reflect FCA requirements, align with Consumer Duty expectations and work in practice for your firm. Our documents are written by Ecompli’s founder and are designed specifically for regulated firms. Every manual, register and template is created to provide practical, usable guidance that supports implementation, helping firms move beyond theory and into demonstrable compliance.
