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Effective Complaints Handling

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Financial services firms regulated by the FCA (including all consumer credit providers) are subject to FCAs’ Dispute Resolution Rules (DISP) for complaint handling. This course will explore regulatory expectations and best practice when dealing with disputes.

By the end of the course, delegates will:

  • Recognise the core elements of the FCA rulebook (DISP)
  • Understand the recent regulatory changes made to DISP
  • Investigate the impact of the recent regulatory changes on firms’ systems and controls
  • Recognise the FLA’s conciliation and arbitration services and the benefits they bring to members and customers
  • Understand the role and approach of the Financial Ombudsman Service (FOS)
  • Through practical application, understand how the FOS approaches complaints
  • Know how the FCAs’ complaints governance and oversight structure operates
  • How to execute effective root cause analysis