Introduction to Complaints Handling
Overview
This course provides a clear and concise introduction to the FCA’s Complaints Handling rules.
It explains how staff can identify a complaint, and why complaints are important to firms, and to the regulator. It also explores the arrangements that firms must put in place to meet their regulatory obligations, including the record-keeping and reporting rules, as well as the time limits that firms must adhere to. The module also considers the role of the Financial Ombudsman Service (FOS), and explains which clients are eligible to have their complaint reviewed, as well as the limits to compensation.
Who is this for?
This course is ideal for Compliance/Financial Crime staff as well as the wider business and front office employees and will be tailored to your requirements.
Course Details
- Why do complaints matter?
- Who can complain?
- Policies and procedures
- Resolving complaints
- Types of complaint
- Time limits
- Financial Ombudsman Service
- Records and reporting
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.