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Financial Services Regulatory Compliance - Global consulting

Complaints Handling / Root Cause Analysis

Ensuring that firms treat their customers fairly is at the heart of the FCA’s consumer protection agenda. It is vital that customers know that if something goes wrong, their complaint will be dealt with in a reasonable way and that they will get a fair outcome.

With the continued focus on customer outcomes, ensuring that you have robust complaint handling procedures with a sound process to identify root cause analysis, is essential to ensure that customer complaints are dealt with and resolved according to the FCA’s expectations and timescale.

We have a wealth of experience in regulated complaint handling and can provide services from a process review through to designing and embedding a complaints procedure.

We are able to analyse, review and comment on current complaints procedures or assist in the creation and embedding of new complaint policy and procedures to reflect:

• Appropriate, effective and transparent complaints procedures

• Investigation of complaints competently, diligently and impartially

• How to deal with customer complaints

• Appropriate and adequate documentation requirements

• Adequate resolution of complaints including redress or remedial action

• Adhering to regulatory timeframes