Complaints Handling for Managers Course

One of the three operational objections of the FCA is to protect consumers. Financial firms are required to follow a principles-based approach to dealing with client complaints. Managers play a vital role in enforcing this.

Managers and supervisors are responsible for ensuring there are sufficient resources for handling complaints. Their responsibility extends to checking that the complaint handling systems work properly to serve the client.

Our Complaints Handling for Managers Course explains the FCA's rules on how best to manage complaints from retail clients in the financial services sector.

Start a Free Trial

Chevron Skillcast chevron graphic
Complaints Handling for Managers

About this Course

Available as part of our FCA Compliance Library.

Learning Objectives

This course will prepare you to:

  • Recognise complaints and the importance of dealing with them appropriately
  • Understand the manager's role in ensuring that complaints are handled compliantly
  • Recognise how the Firm may receive complaints
  • Know the procedure for handling complaints
  • Follow the rules and etiquette for handling complaints
  • Understand the role of the FOS

Latest Course Updates

  • Course redesigned with a more modern feel
  • Full review conducted by an FCA expert
  • Text & image updates throughout the course

Course Outline



- Expression of dissatisfaction
- Eligible complaints
- Complaints handling
- Exercise: Complaints handling

General requirements

- Scenario: General requirements
- Requirement to inform
- Dealing with the complaint
- Scenario: Dealing with the complaint
- Redress
- Systems & controls
- Scenario: Systems & controls
- Time limits, record keeping & reporting
- Rejecting a complaint
- Categorising complaints
- Exercise: General requirements

Time limits for dealing with a complaint: Acknowledgement

- Progress
- Final response
- Responses earlier than eight weeks
- Speed & quality of response
- Exercise: Time limits

Monitoring complaints

- Scenario: Monitoring complaints

Record keeping & reporting

- Internal reporting
- Six-monthly reports to the FCA
- Exercise: Record keeping

Role of the FOS

- Formal & informal settlements
- Scenario: Formal & informal settlements
- Completely independent
- Exercise: Role of the FOS




Course Specifications




Approximately 35 minutes followed by a 10-question assessment.



Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.



SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.



All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.



Fully customisable on Skillcast Portal CMS.



Pre-translated versions not available, but all text content can be exported for translation into all languages.



Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

FCA Course Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

Start a Free Trial

Chevron Skillcast chevron graphic
FCA Course Library