Complaints Handling

Firms are required to have appropriate and effective procedures for handling complaints, which must be implemented and maintained within to their business practices. This includes having appropriate management controls to identify and remedy any recurring or systemic problems.

The general requirement to have internal complaints handling procedures is set out in the Financial Conduct Authority (FCA) Handbook. The Complaints Procedure Manual below sets out these rules and procedures contained under the section titled Dispute Resolution: Complaints (DISP) within the FCA Handbook.

The Complaints Procedure Manual has been written to be effective and transparent taking into account the concept of Treating Customers Fairly (TCF). It is also designed to ensure that complaints are handled fairly, effectively, promptly, and resolved at the earliest possible opportunity, minimising the number of complaints referred to the Financial Ombudsman Service (FOS).

The following documents including the Complaints Procedure Manual are designed as a complete solution for your business from publicising your procedures to reporting to the FCA.

The purpose of this Complaints Procedure Manual is to set out the rules contained under the section titled Dispute Resolution: Complaints (DISP) within the Financial Conduct Authority Handbook.

These procedures have been written to be effective and transparent, for the reasonable and prompt handling of complaints.   It provides a simple structure process on how to identify a complaint, what they should and shouldn’t do and how a complaint should then be handled and by who.

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Within this bundle we provide a Confirmation Form that staff can sign and date confirming they have read the manual and understood its content, along with a Complaints Record to record and report any complaints.  There is also a leaflet that firms can send out to complainants when acknowledging a complaint.

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This bundle includes a variety of template letters that firms can use to acknowledge a Complaint all the way through to sending a Final Response Letter.  It also includes a Summary Resolution Letter in cases where the complaint has been dealt with within 3 working days.

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