In Focus: When things go wrong  

How to respond to a client complaint

  • Explain how to handle incoming complaints
  • Explain how to work with the Fos
  • Communicate how to learn from complaints
CPD
Approx.30min

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While the client and specific adviser information is anonymised, they are logged against the firm name.

Vicky Pearce is director of financial compliance specialist B-Compliant

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CPD
Approx.30min

Please answer the six multiple choice questions below in order to bank your CPD. Multiple attempts are available until all questions are correctly answered.

  1. Which correspondence must be treated as if the customer had made contact?

  2. Firms can ask clients to put their complaint in writing and can charge a fee for handling it. True or false?

  3. What must a firm do if the client does not accept its attempts at resolution?

  4. Firms and clients must prove their case ‘beyond reasonable doubt’ when a complaint is made. True or false?

  5. What should a firm do once a complaint is closed?

  6. A client has the right to refer a complaint to the Fos even if the adviser offers settlement. True or false?

Nearly There…

You have successfully answered all the questions correctly, well done!

You should now know…

  • Explain how to handle incoming complaints
  • Explain how to work with the Fos
  • Communicate how to learn from complaints

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