{"id":59751,"date":"2022-06-28T10:35:58","date_gmt":"2022-06-28T10:35:58","guid":{"rendered":"https:\/\/lgca.uk\/?post_type=event_listing&p=59751"},"modified":"2023-11-12T18:11:20","modified_gmt":"2023-11-12T18:11:20","slug":"complaint-handling-under-disp-2","status":"publish","type":"event_listing","link":"https:\/\/lgca.uk\/el\/\u03b3\u03b5\u03b3\u03bf\u03bd\u03cc\u03c2\/complaint-handling-under-disp-2\/","title":{"rendered":"Complaint Handling under DISP"},"content":{"rendered":"

Course Overview\u00a0<\/strong><\/p>\n

In 2020-2021, the Financial Ombudsman Service upheld a staggering 40% of complaints (not relating to the Payment Protection Insurance scandal) and received over 236,000 new cases that had nothing to do with that scandal. These extraordinary numbers tell that firms desperately need to handle complaints better. This is not just about satisfying customers but meeting the needs of regulators and Ombudsman schemes.<\/p>\n

The FCA\u2019s DISP rules which deal with complaint handling build on forty years of experience in this area. Our trainer, Adam Samuel have been deeply involved in this subject for over three quarters of that time. He is the author of the only textbook on the subject, a fund of complaint handling stories from all the different perspectives of firms, complainants, Ombudsman, adjudicator and even claims management firms. Above all else, this course is about using the rulebook to produce better more accurate and less intrusive complaint handling.<\/p>\n

 <\/p>\n\n\n\n\n\n\n
Date<\/td>\n12 and 13 of March 2024<\/td>\n<\/tr>\n
Time<\/td>\n09;30 – 13:30 UK Time<\/span><\/td>\n<\/tr>\n
Duration<\/td>\n8 hours<\/td>\n<\/tr>\n
Price<\/td>\nGBP 894 (incl. VAT)<\/strong><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

 <\/p>\n

Training Objectives<\/strong><\/p>\n

By the end of the programme, participants will:<\/span>\u00a0<\/span><\/p>\n

\u00a0\u2022 Identify what is and what is not an FCA-regulated promotion and understand why this matters<\/p>\n

\u00a0\u2022 Know where to find the applicable rules, not just those in COBS 4 but also in the ASA Code and other places<\/p>\n

\u2022 Appreciate the impact of non-compliance and the FCA\u2019s sanctions for this<\/p>\n

\u2022 Understand when and how the requirements for disclosing risk apply<\/p>\n

\u2022 Understand the impact of social media on financial promotions and their regulation<\/p>\n

\u2022 Apply the rules on past and simulated performance<\/p>\n

\u2022 Put together the basics of a financial promotions and risk management process<\/p>\n

 <\/p>\n

Training Outline\u00a0<\/strong>\u00a0<\/span><\/p>\n

 <\/p>\n

\u2022 Building the complaints procedure<\/span><\/span><\/span><\/p>\n

\u00a0\u2022 Advanced disclosure of the complaints process<\/span><\/span>\u00a0<\/span>
<\/span><\/span><\/p>\n

\u00a0\u2022 Identifying complaints<\/span><\/span>\u00a0<\/span>
<\/span><\/span><\/p>\n

\u00a0\u2022 Acknowledgement<\/span><\/span>\u00a0<\/span>
<\/span><\/span><\/p>\n

\u00a0\u2022 Investigation<\/span><\/span><\/span><\/p>\n

\u00a0\u2022 Assessment<\/span><\/span>\u00a0<\/span>
<\/span><\/span><\/p>\n

\u00a0\u2022 Final response<\/span><\/span>\u00a0<\/span>
<\/span><\/span><\/p>\n

\u00a0\u2022 Financial ombudsman service<\/span><\/span>\u00a0<\/span>
<\/span><\/span><\/p>\n

\u00a0\u2022 Reporting and publishing complaints data<\/span><\/span><\/p>\n

\u2022 Root cause analysis<\/span><\/span>\u00a0<\/span><\/span><\/p>\n

 <\/p>\n

Industry Expert | Adam Samuel<\/strong><\/p>\n

<\/p>\n

Adam Samuel is a compliance consultant who has been trying to resolve the financial services industry\u2019s problems through a combination of training, advising, writing and general persuasion since 1996.<\/p>\n

The author of the only book on complaints in the UK (now in a second edition), Adam has worked for regulators and public bodies in five countries and three continents and delivered financial services compliance training in three European countries and Hong Kong. He is a lawyer by training but insists on being qualified as a financial and mortgage adviser as well as a compliance and financial crime specialist. Adam\u2019s speciality is loud highly interactive sessions (on complaints handling, financial promotions, digital financial promotions, product governance, financial crime and suitability) using as many practical examples as he and the participants can find.<\/p>\n

 <\/p>\n

Who Should Attend\u00a0<\/strong><\/p>\n

The programme is ideal for:<\/span>\u00a0<\/span>\u00a0<\/span><\/p>\n

\u00a0\u2022 Complaint handlers\u00a0<\/span><\/p>\n

\u00a0\u2022 <\/span>Customer service and customer relations staff<\/p>\n

\u00a0\u2022 <\/span>Compliance Officers and staff<\/p>\n

\u00a0\u2022 <\/span>Customer-facing staff generally who are not too proud to learn<\/p>\n

\u00a0\u2022 <\/span>Training and competence specialists<\/p>\n

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