Customer Support Monitoring Policies and Supporting Management Information (MI) Suite Manual & Template

Product Overview

Enhance your organisation's compliance with the FCA's Consumer Duty by implementing a robust Customer Support Monitoring Policies and Supporting Management Information (MI) Suite. This comprehensive manual and template provide a structured, customisable framework for overseeing and optimising customer support processes, ensuring they are accessible, responsive, and free from unreasonable barriers to deliver positive outcomes for retail customers. Aligned with the latest regulatory updates as of 06 August 2025, including FS25/2 simplifications and the March 2025 Consumer Support review, this resource empowers financial firms to utilise data-driven monitoring, mitigate risks, and foster inclusive, efficient assistance.

Presented as a Microsoft Word document (DOCX), this toolkit features detailed policies, MI tools, checklists, and examples. Suitable for support managers, MI analysts, compliance officers, and senior executives, it supports proactive oversight whilst integrating with broader Duty elements for resilient, customer-centric practices.

Key Features

• Structured Framework: Comprehensive coverage across 6 chapters, encompassing introduction, regulatory background, key principles (e.g., customer-centricity, accessibility, vulnerability focus), monitoring processes, review/adaptation/remediation, and integration with the Duty framework.

• Regulatory Alignment: Incorporates PRIN 2A.6, FG22/5 (Chapter 7), FS25/2 (February 2025 simplifications for low-impact support), March 2025 multi-firm Consumer Support review (highlighting service improvements through data-led monitoring), and Q1 2025 thematic review on resilient support.

• Customisable Templates: Includes MI Dashboard Template, Monitoring Checklist, and example completed versions in Appendix C and D for tracking performance, metrics, and audits.

• Appendices for Quick Reference: Glossary of terms (Appendix A), referenced policies (Appendix B), FCA resources (Appendix E), and more to facilitate implementation and ongoing compliance.

• Practical Examples: Hypothetical scenarios (e.g., helpline monitoring, multi-channel support) with filled-in templates and rationale notes for real-world adaptation.

• Version Control & Usage Guide: Embedded instructions for customisation to suit your operations, with emphasis on proportionality, vulnerability segmentation, and retention (e.g., 7 years).

• 2025 Insights Integrated: Focuses on inclusive monitoring, multi-channel MI, data-driven refinements, and noted enhancements like 15-23% in service equity from FCA reviews.

Benefits

• Ensure Compliance & Mitigate Risks: Meet FCA requirements for the Consumer Support Outcome, with tools for documentation, audits, and remediation to demonstrate barrier-free assistance and avert penalties.

• Boost Customer Outcomes: Promote responsive, accessible support that reduces inequities (e.g., 18-23% improvements per 2025 reviews) and aids vulnerable groups through segmented, proactive monitoring.

• Improve Operational Efficiency: Employ scalable methodologies and simplifications for low-volume vs. high-impact support, saving time with ready-to-use dashboards and checklists.

• Foster Agility & Integration: Connect with other Duty outcomes (e.g., product governance, understanding) for a unified approach, supporting iterative enhancements and swift adaptations to changes.

• Strengthen Accountability: Aligns with SMCR by specifying roles for teams, managers, and partners, with clear connections to cross-cutting obligations for ethical, harm-minimising delivery.

• Deliver Actionable Insights: Leverage quantitative/qualitative metrics (e.g., resolution times, satisfaction scores) and tech integrations (e.g., AI analytics) for measurable improvements and informed decision-making.

Who It's For

• FCA-regulated financial services firms, including banks, insurers, lenders, and investment providers involved in UK retail customer interactions.

• Roles such as support/operations teams, MI/data analysts, compliance/risk officers, senior managers (SMFs), and third-party providers managing customer queries or channels.

• Organisations monitoring new or existing support processes (e.g., queries, complaints) across the lifecycle, extending to closed products per July 2024.

• Ideal for firms emphasising vulnerability focus, multi-channel equity, and Duty integration with outcomes like Products/Services or Price/Value.

What's Included

• 1 x Customisable Microsoft Word Document (DOCX): Full manual with chapters, appendices, policies, MI suite guidance, templates, and examples.

• Embedded Guidance: Version control, customisation tips, and usage instructions (remove before finalising).

• Digital Delivery: Instant download upon purchase for immediate use and adaptation.

Licence and Usage Terms

This template is licensed for internal use within your purchasing organisation only. Redistribution, resale, or transfer without prior written consent is prohibited. For full terms, refer to the included Instructions document.

Disclaimer

This manual and template are provided as a supportive tool for regulatory compliance and do not constitute legal or professional advice. Your organisation is responsible for ensuring alignment with FCA regulations, industry standards, and specific legal obligations. Customise to fit your business model and seek professional advice if needed. No liability is assumed for any loss, damage, or regulatory action arising from use.

System Requirements

• Microsoft Word or compatible software (e.g., Google Docs) for editing.

• Optional: Data visualisation tools (e.g., Excel/Tableau) for MI templates.

• No additional software required.

Ready to optimise your customer support monitoring and achieve Consumer Duty excellence? Purchase now and adapt this essential framework to empower your customers and safeguard your business. For bundling with related templates (e.g., Vulnerable Customers Policy or Complaints Handling Policy), explore our compliance toolkit options.