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Learn How To Efficiently Handle FCA Complaints So You Can Resolve Them Quickly And Move On.

FCA Complaints Handling See for details https://complianceconsultant.org/regu... Efficient FCA Complaints Handling Tips The FCA's complaint handling requirements require that Firms must have their own internal complaints handling procedures and comply with rules (set out in the DISP chapter of the FCA Handbook) which set out timescales within which responses to complaints must be given to customers. If the firm rejects a complaint, the client can refer to the FInancial Ombudsman Service and this costs the firm money for them to review and assess the complaint. Too many advisers answer complaints when they have an emotional attachment to the case. How many of your cases, upheld by the FInancial Ombudsman Service were actually approved (pre or post-sale), by your compliance support service? If your compliance support service also manages your Complaints … … is there a conflict of interests? Are they not looking to cover their own errors? We help you free your time Actual Google Reviews Here's an example response. Fully Personalised and Referenced List all complaint points We will assess and complete the response for you, in your name, as if you were responding. We do not send anything direct to the complainant. Assessment decision clearly stated up-front Cater for partial upholds and include distraess and inconvenience compensation as appropriate Provide a chronological sequence of events. Include all meetings and contacts. Blow by blow responses to points recorded and any counter argumets found in the file. Emotional statements adressed sympathetically as appropriate. Leaving issues unanswered only creates more response and subsequent questioning. We always list all the information in chronological order. Reinforce findings and decisions with full Financial Ombudsman Service rights as standard if you find this information useful and want more such insights, do hit that subscribe button below and ring our bell!. The files can be retained as part of adviser development file as well as provide KPI data to management. Our Independent Complaints scheme helps you and saves you time. Want more time for sales? Want to avoid potential Conflicts of Interest? Want to avoid regulatory Scrutiny? Want to avoid any emotional bias? Click onto the link in the description to find out more. Compliance Consultant - Independent Complaints Management - Tel 0800 689 0190 (UK) or +44 (0)207 097 1434 (Intl) If you are a UK authorised firm or are looking for FCA Authorisation/Registration, then please book a direct Zoom call with the "Compliance Doctor" on any of the following topics, please use; Governance Review https://bit.ly/CCGovRev AML Review https://bit.ly/CCAMLRev FCA Authorisation/Registration https://bit.ly/419A09F Compliant Management Service https://bit.ly/CCCompltMan File Checking Service https://bit.ly/CCFilChk 45 Min Discovery Call https://bit.ly/CCDiscovr Compliance Support https://bit.ly/CCSpprt