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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.

Complaints Procedure Manual

Complaints Procedure Manual V14 1 MBDOCDownload

Complaints Documentation

Complaint Confirmation Form V2 26 KBDOCDownload
FOS Notice V4 30 KBDOCDownload
Complaint Handling Leaflet V8 36 KBDOCDownload
Complaints Record V2 36 KBDOCDownload

Complaints Register

Complaints Register - 3 Day Ruling V2 14 KBXLSDownload

Complaints Letters

Summary Resolution Letter V1 30 KBDOCDownload
Acknowledgement Letter V2 27 KBDOCDownload
Authority Letter V2 27 KBDOCDownload
8 Week Written Response Letter V5 29 KBDOCDownload
8 Week Written Response Letter (time barred) V5 31 KBDOCDownload
Final Response Letter V4 35 KBDOCDownload
Final Response (time barred) 36 KBDOCDownload
Letter of Acceptance V2 26 KBDOCDownload
Submission Letter to FOS V3 28 KBDOCDownload
Forwarding to another firm letter V2 27 KBDOCDownload

Template Response Letters

PPI Claim Complaint Response Letter V2 26 KBDOCDownload
Mortgage Claim no longer hold file 27 KBDOCDownload

Complaints Guidance Documents

Financial Ombudsman Service Compensation Guide 19 KBDOCDownload

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