Fundamentals of Complaint Handling and DISP


Fundamentals of Complaint Handling and DISP

598 people viewed this event.

For major institutions, handling complaints annually pay millions of pounds in compensation. For smaller firms, a string of cases can destroy a business. Hundreds of companies daily try to show their best side to unhappy customers, the Ombudsman and their regulator. The dispute resolution (DISP) complaint rules are complex and this course teaches you how to use and comply with the rules while showing your best side to all the relevant stakeholders. The course leader, Adam Samuel, wrote the only book on the subject; now in its second edition, it explains how to handle complaints for and against firms.

Price £699.00 + VAT

Course Syllabus

  • Finding the complaint rules – MiFID and non-MiFID cases

  • Building the complaints procedure

  • Any relevant limits to coverage of the procedure

  •  Point of sale and website disclosure of how to complain

  • Identification of complaints and recording them 

  •  Next 3 business days requirements for summary disposal

  • Acknowledgement of complaints

  • Investigation – by whom, of what and how

  • How to compose an 8 week letter

  • Assessment – rules to be applied, likely reasons to uphold complaints, basic compensation approaches

  • Final response – rulebook requirements, how to draft a response including a practical demonstration

  • Financial Ombudsman Service – its legal basis, jurisdiction and summary dismissal filter, investigation and awards

  • Reporting complaint numbers & keeping records

  • Learning from mistakes – root cause analysis, regulatory requirements, practical techniques, limitations

Learning objectives

  • Understand the key elements of the complaints procedure

  • Gain familiarity with DISP

  • Gain the ability write the important complaint letters in an appropriate style and tone and in a clear and structure manner

  • Appreciate the issues around identifying complaints

  • Understand how to carry out the stages of complaint handling

  • Gain a grasp of the rules concerning and limitations of root cause analysis

  • Know what the Financial Conduct Authority (FCA) is looking for in complaint investigations and responses

  • Learn the law and rules surrounding Financial Ombudsman Service (FOS) 

Who is the course suitable for?

Complaint handlers, compliance, senior managers responsible for complaint handling


Adam Samuel

To register for this event email your details to

Register using webmail: Gmail / AOL / Yahoo / Outlook


Date And Time

23-September-2020 - 09:30
- 16:30




The London Institute of Banking & Finance

Event Category

Compliance Skills

Share With Friends