Complaints Handling for FCA Authorised Firms

Introduction

This new one-day seminar is aimed at compliance officers and managers as well as those who have oversight for compliance within their business.

What You Will Learn

This course will cover the following:

• The FCA's complaint handling rules
• How to provide a comprehensive complaint handling service
• Recurring complaint themes
• Why the culture of your organisation matters
• Intelligence gathering
• Practical use of your root cause analysis
• Reporting complaints
• Common mistakes made by the Boards of FCA authorised and regulated firms
• The key to reducing complaints
• Why a positive compliance culture is key