CPD Hours Level
Learn Live 6 AdvancedInformation


Presented by Adam Samuel, this virtual classroom session split over 2 half days, will use case studies involving real complaints in the financial services sector.

This in-depth session is aimed at senior level delegates who need to keep up to speed on how the complaint rules in the UK DISP rulebook and Article 26 of the MiFID Org Regulation and EU ESMA/EBA Guidelines apply to complaints.

The session will show you how to follow a complaints procedure to include identifying a complaint, investigation, assessment and final response.

This session is suitable for delegates in the UK and the EU .

What You Will Learn

This live and interactive course will cover the following:

  • Objectives of training and complaints handling
  • FCA rules - DISP 1.1a for MiFID cases
  • Financial Ombudsman Service materials
  • Building the complaints procedure
    • A complaints procedure and policy
    • Complaints management function
    • Scope of the procedure and the FCA Complaint Rules (DISP)
  • Advanced disclosure of the complaints process
  • Identifying complaints
  • Acknowledgement
  • Investigation
  • Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.

Book now

Future dates are coming soon.
Please let us know if you wish to be notified.
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Plan Information
Ticket Information
Group bookings
Discounts are available for multiple places. If you have 5 or more people interested in participating in this virtual learning session please email us at information@mblseminars.com for more information.

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