Complaints Management

Check and Demonstrate Your Firm's Compliance Against Each Complaint Management Requirement:

  • Overview Recording: Confirm dates of complaint, reopening, and escalation, along with complainant name, reference, and status, with guidance explaining why timely tracking ensures adherence to DISP rules and supports efficient resolution timelines.

  • Complaint Details Documentation: Verify source, handler name, category (e.g., advising/selling, unsuitable advice), and claims relation, with rationale on why categorisation aids root cause analysis and aligns with FCA expectations for fair treatment.

  • Resolution Tracking: Document resolution date, acceptance, days open, redress paid date, and amount, including insights highlighting why these records demonstrate prompt handling and evidence compliance with 8-week resolution mandates.

  • Description Confirmation: Record full complaint descriptions, with guidance on why detailed logs enable thorough investigations and provide defensible evidence during regulatory reviews.

  • Investigation Verification: Confirm investigation details, explaining why structured documentation identifies issues and supports unbiased outcomes to uphold consumer protection principles.

  • Outcome Assurance: Verify outcome details, with rationale on why clear records of decisions and actions prove fair resolutions and facilitate reporting to authorities like the FOS.

Achieve up to 40% faster complaints documentation, with clear guidance on regulator expectations.