Course Code

  • CH


  • City of London

CPD Credits

  • 6
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Course Overview

You need to make it easy for customers to complain. What an aggrieved customer hates more than anything is a complaints process that’s opaque, complicated and onerous. The regulator couldn’t agree more.

The FCA expects you to treat your customers fairly. Which means you must have a straightforward, transparent and fair complaints process. If complaints handling is not high up on your agenda, now is the time to put it there.

But handling complaints is about more than showing the regulator that you’re treating customers fairly, it’s about actually treating your customers fairly. Your complaints procedure can have a profound effect on how your customers think and feel about your firm.

In this one-day course you’ll learn how to create an effective and sensitive complaints procedure that will help you keep your customers (who may have otherwise gone in frustration to your competitors).

  • Consider the background to the rules and regulatory expectations
  • Explore the fair treatment of complainants
  • Examine the potential root causes of complaints
  • Creating and implementing a complaints procedure
  • The structure and activity of the Financial Ombudsman Service (FOS)
  • Recognising complaints and triggering the complaints process
  • Win – Win outcomes from the effective complaints procedure

Good complaints handling is good for business

When you’re dealing with people’s money complaints are part of the territory. Even the very best firms receive complaints. What matters is how you handle them.

Turn customer anger into loyalty – Successfully resolve a customer’s complaint and they can become one of your most vocal advocates. Not only do you keep an account, they will be spreading the word that you’re a firm that looks after its customers.

Show you have nothing to hide – Perhaps by hiding away its complaints procedure, a firm hopes a customer won’t complain. Smart firms know a visible complaints process reassures prospective customers and makes you more trustworthy.

Placate the silent unhappy – Not every aggrieved customer will complain. For every person that complains about an issue, there will be many who protest silently by leaving for your competitors. A visible complaints procedure shows all your customers just how seriously you take this issue.

The Course Agenda

Environment and background to Financial Services Regulation

  • Rules verses principles
  • Fair treatment of complainants
  • Finding and correcting root causes

Complains handling procedures

  • Eligible complainants
  • Dispute Resolution (DISP) Rules
  • Company Procedure

Financial ombudsman Service

  • Procedures and decision making

Recognising complaints

  • The definition of ‘complaint’
  • Examples of complaint exercise

Effective implementation

  • The complaints journey – customer experience exercise
  • Factors affecting outcomes
  • Internal factors affecting outcomes
  • Creating customer satisfaction
Download PDF Get this course in-house

Or call 0203 178 4230 or email today.

Meet The Tutor

Phil Dockerill


Phil has worked in financial services for over 30 years and has spent the last 17 years as a consultant working across the breadth of the industry. He has delivered numerous training events and provided consultancy services to a variety of different sector clients supporting them with both their regulatory and soft skills requirements.

Phil specialises in the effective implementation of procedures, especially complaints, designed to deliver compliance and business results – helping businesses put in place complaints processes that enable staff to understand how to apply the process and make consistent dispute resolution decisions.

Who is this course for?

This course is ideal for any client facing personnel and those responsible for the investigation and management of complaints.

Following our latest 'Complaints Handling' event, 100% of delegates said they would attend training with FSTP again

Training that makes a difference

Experienced engaging trainers

With first hand industry knowledge and an intimate understanding of the regulatory environment, we always guide you with an expert (and friendly) hand.

Packed with relevant information

We know you’re busy, so we’re careful not to waste a minute of your time. Our training courses are fast paced, insightful and filled with valuable information.

Get personalised attention

Sessions are practical workshops not PowerPoint lectures. All courses are limited to no more than 14 attendees, so we’re able to explain concepts in the context of your business.

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