Complaints Training Guide for Customer Facing Departments

CCUK - Financial Conduct Authority (‘FCA’)

• FCA Handbook section DISP 1.1A.9

• COMPLAINT DEFINITION .-

¹ ‘any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of a client or potential client about the provision of, or failure to provide, a financial service, which alleges that the complainant has suffered (or may suffer) financial loss, material distress or material inconvenience.’

CCUK - Financial Conduct Authority (‘FCA’)

• COMPLAINT DEFINITION ANALYSIS .-

1. The regulator uses the word ‘Any’ when referring to oral or written expressions of dissatisfaction. This means that we will accept and treat as a Complaint the statements of dissatisfaction received from clients or potential clients by any possible means.

ESCALATE AS A COMPLAINT DISSATISFACTION RECEIVED THROUGH:

• Chat
• Email
• Social Media
• Call
• ...

DO NOT ESCALATE AS A COMPLAINT DISSATISFACTION RECEIVED THROUGH:

• NONE

*All have to be escalated