Complaints Handling

Complaints Handling


Regulated firms are required to have a clear process that all staff are familiar with. It is important that all staff are aware of the requirements when dealing with a complaint and that they are able to recognise a complaint whether this is received verbally or in writing.

The overarching objective of the regulator is that firms achieve the outcomes expected, demonstrating that clients are being treated fairly.

Firms may only have a small number of isolated complaints to deal with and employing staff qualified to deal with them can prove an expensive resource to retain.


Having worked in and managed large compliance departments ComplyMe has extensive experience of receiving and managing complaints through to a satisfactory outcome.

How we can help

We can handle the complaints process from the outset and where appropriate undertake the necessary redress calculations. Where there has been client detriment, ComplyMe could identify the root cause and where appropriate provide firms with solutions on how firms can set out their processes/procedures to minimise the potential for a complaint proceeding in the future.

We can support firms with all levels of complaint handling either on an ad-hoc basis or as part of an ongoing service, freeing up your time to allow you to concentrate on growing the business. By outsourcing your complaints handling it will give you comfort that you are getting a truly independent review.

ComplyMe are happy to assist on an ad-hoc basis or on a total outsourced basis.

Contact ComplyMe today for a free consultation.

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