The Training Environment For Financial Services

Complaint Handling under DISP

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Outine & Objectives

The Financial Conduct Authority's complaint rules (DISP) are fiddly, easy to break and regularly changing (having undergone significant revisions in 2015 and 2016) and need to be a central feature of every business' complaints procedures.

Complaints can help firms learn about their customers, processes and staff and offer an opportunity to put things right which they would not have otherwise. With FOS upholding over half the complaints made to it in 2015//2016, this is unfortunately an opportunity many firms are failing to embrace.

This practical course will help you know your way around both the complaints rules and "best practice", set up and use the complaints process effectively, optimise your chances of keeping your customers and maintain your reputation with the public, the Ombudsman and the regulator.

Specifically, attending will help you:

  • Update and refresh your knowledge of the regulatory framework for complaints including DISP, relevant FCA principles and FOS rules, and examine how they apply in practice
  • Benchmark your complaint processes against FCA expectations and industry best practice, from identifying complaints to final responses
  • Know how to achieve good relations, and outcomes, with FOS
  • Make better use of Root Cause Analysis and complaint MI
  • Demonstrate the effectiveness of your monitoring and governance framework for complaints

Who will benefit?

This course will be of value to those responsible for the handling, monitoring or oversight of complaints, including Complaints, Customer Services, Operations, Compliance, Conduct, Legal and Internal Audit professionals.

Course Agenda

Topics covered may include but are not limited to:

  • Before complaints are received
  • Identifying Complaints
  • Investigation
  • Relevant rules on deciding cases
  • Final Response
  • Financial Ombudsman Service
  • Root cause analysis and MI
  • Systems and controls
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