Handling Client Complaints and Treating Customers Fairly

Adam Samuel

Handling Client Complaints and Treating Customers Fairly

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Much of the focus of MiFID 2, the Insurance Distribution Directive and other modern regulation is on the fair treatment of customers. The handling of complaints marks out financial institutions as being concerned about their customers and keen to improve their own standards generally. MiFID 2 was the first general EU financial services directive to take the subject seriously and lay down, through its MiFID Org Regulations, some Europe-wide complaint rules. 

The trainer, Adam Samuel, is a UK-based complaints and compliance expert who has handled complaints for firms, consumers and briefly as an Ombudsman. He is the author of the only book on UK financial services complaint handling now in its second edition. He brings to our courses his experience and knowledge of the UK and the subject-area generally as well as an unquenchable enthusiasm for learning how the rest of Europe handles things. He brings to every course a string of practical examples and welcomes people bringing along their case studies and examples.

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Date24 & 25 June 2021
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Time08:00 – 10:45 UK Time
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Duration5 hours
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Price£220 + VAT

Training Objectives

By the end of the programme, participants should be able to:

  • Apply treating customers fairly notions to their business
  • Apply the MiFID Org Regulation provisions to complaints
  • Build and implement the basics of a complaints procedure and policy
  • Understand the complaints process from advance disclosure of the process to the closure of the case
  • Appreciate some of the root cause analysis techniques and their weaknesses
  • Reach fair results in relation to their products and services and complaints about them
  • Deal with a case at the Financial Ombudsman

Training Outline

The idea of TCF

Setting up expectations

  • Attracting customers (promotions rules introduced)
  • Describing the firm, product and service

Meeting expectations and a product or service of reasonable quality

  • Advice, fact-finding, suitability
  • Best execution
  • Introduction to product governance


  • Elements of the procedure and policy
  • The complaints management function
  • Advance disclosure of how to complain
  • Identification, recording and acknowledging
  • Investigation
  • Assessment and final response
  • Financial Ombudsman
  • Root cause analysis

Training Style

The training style is interactive involving a combination of discussions and presentation, group work and case studies (taken from real-live examples). Participants are encouraged to share their opinions from their different perspectives.

CPD Recognition

This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Who Should Attend

The programme is ideal for:

  • Complaint handlers
  • Customer relations and customer service staff
  • Lawyers
  • Risk managers
  • Board directors and chief executives
  • Compliance officers and managers
  • Marketing people
  • Product technicians

Adam Samuel

Adam Samuel is a lawyer qualified in the UK and the USA. Since 1996, Adam has run his own training and consulting business, helping out regulators in three continents on customer-facing issues. He has the qualifications required of financial, mortgage and equity release advisers and the UK CISI compliance diploma.

Adam wrote the only book on consumer financial services complaint handling in the UK and a guide to the SFC Code for Intermediaries in Hong Kong. The Gibraltar Supreme Court followed his expert evidence in van Geens v. Jyske Bank on product risk, compliance and advice standards around the world. Adam has broadcast on a number of BBC domestic and World Service programmes, including the national news, on financial services compliance and banking issues.

Additional Details

Price - 220

Duration - 5


Date And Time

24-June-2021 to




Live Online (Zoom)

Event Category

Live Online Courses

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