Training Courses

Financial Services Complaints Handling Workshop

Category: Regulation and Compliance

Course level: Introductory to Intermediate

In house

This 3-hour course is designed to develop the confidence of the client services team to enable team members to answer client questions and handle complaints more effectively.

No prior knowledge is assumed.

Examples of the firm’s products will be used throughout for group discussions.

Objectives

By the end of the course, delegates will have a better understanding of:

  • what constitutes an eligible complaint
  • what constitutes a material complaint
  • FSA regulations and guidance

Length

3 hours

Course Content

Complaints

       What is a complaint?
        Eligible complaints
        Ineligible complaints

Definitions

        Material complaints
        Financial loss
        Material distress
        Material inconvenience
        Non-material complaints

Statutory guidelines

       Written acknowledge procedures and deadlines
        Final response procedures and necessary enclosures
        Review workflow for material and non material complaints
        Writing a reponse letter   

Case study: Complaints handling – the group will review ‘live’              examples of customer complaints, categorise them and outline the appropriate response and procedures

This course would be suitable for:

  • Client services and call centres
  • Legal & Compliance
  • Senior managers
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