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.