The Training Environment For Financial Services

De-mystifying the Financial Ombudsman Service

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Outline & Objectives

DISP sets out the rules and for the FOS. But what does that really look like in practice, and how does it work in the day to day?

This highly practical half day course will de-mystify the FOS - from how it really works, to its approach to complaints. We’ll look at its remit and what this means - at a very practical level - for firms with complaints. We’ll also dig into what the FOS looks for when assessing a complaint, and what can help or hinder a complaint.  

Prevention is better than cure and we’ll also look further ahead, to what measures firms can put in place to avoid escalation and not leave themselves open to future avoidable complaints.

If you are responsible for how your FCA regulated firms deals with customer enquiries and/or complaints, this course will help you:

  • Gain first hand insights into how the FOS works
  • Know what to expect if you have a complaint at the FOS
  • Successfully navigate the FOS process
  • Understand what the FOS looks for when looking at a complaint
  • Spot the pitfalls and prevent unnecessary escalations to FOS


Who will benefit?

The course will be of value to those involved in, or responsible for, handling or overseeing complaints, and frontline and business as usual’ customer queries; including Complaints, Customer Services, Customer Experience, Operations, Compliance, Legal and Quality Assurance professionals in FCA regulated organisations.

Training Approach

This informal workshop uses a combination of trainer input, knowledge sharing and talking through real-life situations. We recommend a maximum class size of 16 people to enable delegates to get the most out of the programme.


Course Agenda

Topics covered may include but are not limited to:

Session Content
How the FOS works
  • What DISP says about the FOS
  • What fair and reasonable really means
  • How the inquisitorial remit works in practice
  • What you can expect of FOS
  • What FOS expects of you
  • Talking to FOS
How the FOS looks at complaints
  • What FOS looks for
  • What is “evidence and information”
  • The who, the what, the where, the when and the how
  • Fairness
  • A reasonable man/woman
  • Timeframes
  • The outcome
Preventing complaints escalating
  • In the thick of it
  • The pros and cons of commercial decisions
  • Why complaints escalate to FOS
  • Mind your language
  • Paperwork
  • Don’t be afraid . . .
  • The snowball effect
  • Preventing future problems
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