Learning Material Sample
Complaints procedures4. What to do on recognising a complaint?The actions to be taken on receipt of a ‘hard’ complaint. The complaint can be dealt with according to any procedu...
Shortened demo course. See details at foot of page. ... should be left to the FOS to adjudicate on this matter.Speedy resolution The three day rule was introduced to allow firms to settle complains quickly where they can be resolved to the complainant’s satisfaction. A business day is defined as Monday to Friday excluding bank holidays for purposes of this rule. (DISP 1.5.3.) This is designed to allow firm’s more time to put things right without recource to the full procedure and also for the FCA to gain stati... Shortened demo course. See details at foot of page. ...ed to pay more tax than necessary. The firm agrees and compensates the client to their satisfactionA firm has failed to deliver on-going services to a client, the client complains and agrees to accept a full refund of fees for the period in question A deadline for a withdrawal has been missed because the firm failed to act on instructions. The firm agrees to compensate in respect of extra tax that becomes payable If immediate resolution is not possible then the full prescribed complaints procedure must be followed. This is described in the follow...
Shortened demo course. See details at foot of page. ...resolution is not possible then the full prescribed complaints procedure must be followed. This is described in the following chapters. |
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