Introduction to Complaint Handling

Adam Samuel

Introduction to Complaint Handling

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Upskill your organisation with this is on-demand live online course. Please contact us at for a quotation and to book date and time.

Course Overview:

This introduction to complaint handling and the FCA’s rules on this subject in DISP presents an overview of the key topics covered in that rulebook. Senior managers are expected to know how complaint handling works and so may find this session helpful to gain that knowledge. New complaint handlers could use this session as a useful introduction. More experienced staff members will also benefit from this short refresher. Apart from writing the only book on this subject now in its second edition, the trainer has handled complaints in almost every capacity: Ombudsman, adjudicator for firms, consumers and even a few claims-management companies.

Scope of the rulebook

  • The two definitions of a complaint

  • Other limits


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TBD (from 2 hrs)

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The complaints procedure

  • How to identify complaints

  • Summary resolution of complaints

  • Forwarding

  • Acknowledgement

  • Investigation

  • Assessment

  • Drafting a final response

  • Root cause analysis

  • How the Financial Ombudsman Service is set up



Who is Adam Samuel?

Adam Samuel is a compliance consultant who has been trying to resolve the financial services industry’s problems through a combination of training, advising, writing and general persuasion since 1996.

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’s specialty 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.


A graduate of both Oxford university and Boston University (masters in banking law), he is a member of the English and New York bars and is a holder of qualifications from CAMS, the CISI, CII on financial crime, compliance and mortgage advice.


  • Complaint handling and other dispute resolution

  • Financial promotions and digital media issues generally

  • Product governance

  • Advice and suitability standards and requirements for non-advised transactions

  • Financial crime including AML

Additional Details


Date And Time





Live Online (Zoom)

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