Remote Programme: Effective Complaints Handling

Start: 10.00 - Finish: 13.30

This half day virtual course will help you consider a “best practice” approach to complaints management, with consideration given to how a complaints process can improve customer relations and help you manage your regulatory requirements.

The Financial Conduct Authority’s complaint rules (DISP) provide a detailed explanation of its expectations for the management of Customer Complaints. Complex and detailed in nature, they need to be navigated with care but should always be central to a firm’s complaints process and culture.

Attending this course will help delegates to:

  • Update and refresh knowledge of the regulatory requirements of complaints management
  • Consider key areas of the DISP rulebook
  • Consider the FCA Principles for Business and how this impacts a firm in respect of its regulatory responsibilities
  • Understand FOS, what it is and what it is there to achieve
  • Familiarise themselves with industry best practice, from identifying complaints to final responses
  • Discuss and debate the concept of Root Cause Analysis, what it is, mechanisms for feedback and how this can be used to improve processes and customer experience

Main points to consider:

Knowing enough about the DISP rules (where they are, what they say, how they connect to the PRIN for business)

  • The basics about the ombudsman
  • Knowing enough about the process (overview, publications)
  • Keeping up with the ombudsman – staying up to date
  • Basics of FRLs and SRCs and written responses (8 weeks)

The session will cover:

  • How the ombudsman works – charging, high-level process
  • What’s a complaint and how to spot it and why it’s important (RCA)
  • High-level outcomes including awards with Distress & Inconvenience
  • High level effective communication for Final Response Letters
  • Bringing it all together

Become a member

What are the benefits of becoming an FLA Member?