Complaints Training Guide for Customer Facing Departments

COMPARISON OF CONCEPTS & PROCEDURES

CCUK

CCSV

CCBEL

> Receipt of Complaints

• All possible means

> Categorisation (FCA)

• Informal -> Resolved within 3 business days
• Formal -> Not Resolved within 3 business days.

> Receipt of Complaints

• Website Form / Email to complaints@... / Through CS/AMs

> Categorisation (Internal)

• Informal -> Easy to resolve queries.
• Formal -> Non resolved informal complaints & Initial Complaints with reference to URN.

> Receipt of Complaints

• Chat, Email, Social Media or Call.

> Categorisation (Internal)

• Informal -> All queries received that don’t fall under formal cat.
• Formal -> Legal, Directly to regulator, by written letter to legal address, by posting in Book of Complaints.

COMPARISON OF CONCEPTS & PROCEDURES

CCUK

CCSV

CCBEL

> Process

• Informal ->

i) CS/AM publishes case in Slack Channel #uk_informal_complaints

ii) Venyamin investigates and either resolves within 3 business days or the case is taken as formal by Compliance UK.



• Formal -> Investigation & Final response generally given within 8 weeks.

> Process

• Informal ->

i) CS/AM publishes case in Slack Channel #possible_complaints

ii) Compliance or CS will investigate and provide a response. If the client is not satisfied has to escalate case to formal.



• Formal -> Investigation & Final response generally given within 8 weeks.

> Process

• Informal ->

i) CS/AM publishes case in Slack Channel #possible_complaints

ii) Venyamin & Tatsiana will decide if treat it as query or informal complaint, and will investigate and respond.



• Formal -> Rare cases. Investigation and Final response generally given within 2 weeks.