3 and 4 June 2020, Remote
9:30am to 12:45pm each day.
Course fees: £495.00 + vat per person
Savings for multiple registrations
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:
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.
This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. The same core content will be covered as in the original face to face training course, with the format and style adapted for remote delivery.
Adam Samuel is a compliance specialist and lawyer who has spent much of the last 20 years training and advising firms from major banks to small one-man firms on complaint handling. Qualified as a lawyer on both sides of the Atlantic and proud holder of an AFPC, the MAQ and CISI compliance diploma, Adam wrote the only major book on financial services complaint handling in 2005 and is in the process of producing a new one. His expert evidence on investment risk and compliance has been accepted by the English High Court and the Gibraltar Supreme Court.
Session | Content |
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Introduction |
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Before complaints are received |
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Identifying Complaints |
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Investigation |
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Relevant rules on deciding cases |
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Final Response |
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Financial Ombudsman Service |
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Root cause analysis and MI |
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Systems and controls |
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This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.