Complaints Training Guide for Customer Facing Departments

CCUK - Financial Conduct Authority (‘FCA’)

• COMPLAINT DEFINITION ANALYSIS .-

2. ‘Provision of, or failure to provide, a financial service.’

Every action we take or situation we face within the scope of a business relationship with one of our clients / potential clients will be considered related to the provision of a financial service, regardless of the situation not being directly related with a financial/money matter.

Examples of complaint causes not being directly related with a financial/money situation but being considered as ‘related to the provision of a financial service’:




• Due Diligence (Identity Documents, Source of Funds Wealth...)
• Technical Issues of the platform. (some of these issues do not have financial consequences but need to be considered nonetheless.)
• Application of Terms & Conditions and/or other Policies.
• ...