Complaints procedures online course

The purpose of this complaints procedures online course is to provide sufficient knowledge on the rules, regulations and guidance relating to complaints procedures for those working within the regulated financial services sector.

At least annually all staff of authorised regulated firms should verify that they have read and understood the firm’s complaints handling procedure and the regulatory requirements for complaints handling.

Syllabus learning objectives

By the end of this course, you will:

  • Understand what constitutes a ‘complaint’ within the meaning of the rules
  • Know how to identify and deal with a complaint
  • Be able to explain the procedures for each stage of a complaint
  • Identify eligible complainants

The course is made up of these 10 chapters:

  1. Complaints procedures course introduction
  2. What is a complaint?
  3. What is an eligible complainant?
  4. What to do on recognising a complaint
  5. Complaint acknowledgement
  6. Investigation
  7. The final response and the Financial Ombudsman Service
  8. Record keeping
  9. Training and competency
  10. End of course assessment
Assessment details

The course assessment contains 10 questions taken at random from a question bank. Your results will be emailed to you on completion and your CPD certificated updated and 1.5 hours CPD time will be added.

You will need to get 70% (7 or more questions correct) or more to pass. If you fail then further assessments can be taken.


See here for more information on this Complaints Procedures online course and our other training modules together with our CPD system which also includes access to this course and other compliance related courses on Financial Crime and Data Protection.

Access is provided for 6 months. If you purchase multiple training modules a discount is available along with a longer access period. R01 assessments

The benefits of this course for you and your business

Any person working in the financial services sector who has contact with customers or clients may potentially be in the firing line when it comes to complaints. The fewer complaints received the less familiar you will be with the regulatory procedures and how to deal with them.

Although your firm may never have had a complaint, in today’s culture of blame and claim there is no end to the ways a complaint might materialise whether justified or not.

It is essential reputationally and financially for all personnel in financial services to have a good working knowledge of the complaints regime.

Misinformation can escalate complaints and make them time consuming and perhaps costly out of all proportion.

This is what you will find out in this online course:

  • The regulatory rules for dealing with complaints
  • When must they be reported to the Financial Conduct Authority
  • How must they be acknowledged
  • What steps can be taken to avoid formal reporting
  • The test of what constitutes an eligible complaint
  • Procedures and record keeping rules for complaints
  • Who is eligible to take their complaint to the Financial Ombudsman Service?
  • Regulatory reporting requirements for complaints.