FCA Complaints Procedure Manual

£195.00

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.

FORMAT: All documents are downloadable via email upon receipt of payment.

WORD DOCUMENT – 16 PAGES

INDEX OF CONTENTS

  1. Introduction
  2. Staff Training
  3. Definition of a Complaint & Complainant
  4. Publicising the Procedures
    1. Complaint Handling Leaflet Distribution
  5. Receiving a Complaint
  6. Complaints Resolution
  7. Complaints Resolved by the Third Business Day
    1. Summary Resolution
    2. Recording of Complaints Resolved by the Third Business Day
  8. Time Limits for Dealing with a Complaint
    1. Acknowledgement
    2. Final Response or Written Response Letter
    3. Complaints Forwarding Rules
  9. Professional Indemnity Insurance Notification
    1. Complainant’s Acceptance
  10. Complaints Investigation
    1. Redress
  11. Complaints Referred to the Financial Ombudsman Service
  12. Complaints Received Prior to Joining the Firm
    1. Period as an Appointed Representative
    2. Period of Direct Regulation
  13. Record Keeping
  14. Reporting Requirements to the FCA
    1. Format of Complaints Report – Table 1.15
    2. Format of Complaints Report – Table 2.15
    3. Format of Complaints Report – Table 3.16

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