FCA Complaints Procedure Manual

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 should and shouldn’t be done and how a complaint should then be handled and who by.

The manual also includes how a firm’s management information can be used to evidence it is embedding the Consumer Duty to ensure that customers receive good outcomes.

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

Category:

Description

WORD DOCUMENT – 19 PAGES – Updated with Consumer Duty requirements – July 2023

INDEX OF CONTENTS

  1. Introduction
    1. Consumer Duty
  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
    2. Format of Complaints Report – Table 2
    3. Format of Complaints Report – Table 3

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