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FCA Complaint Handling

FCA Complaint Handling Links

FCA Complaint HandlingFCA regulated firms are required to have internal complaint handling procedures in place. Here’s a summary of key points:

1. FCA Handbook: The FCA provides detailed guidelines on internal complaint handling procedures in its handbook, particularly in DISP 1.2, DISP 1.3, and DISP 1.4 sections[1][3][4].

2. Complaint Resolution: Firms must resolve complaints within specific time limits and maintain records[4].

3. Consumer Notification: If a firm can’t resolve a complaint within 3 business days, they must acknowledge it in writing[5].

4. Financial Ombudsman Service (FOS): Firms must cooperate with FOS and comply with its rules[6].

5. Compliance with DISP Chapter: Firms must follow the rules set out in the DISP chapter of the FCA Handbook[7].

6. FCA Oversight: The FCA oversees and enforces complaint-handling rules for all regulated businesses[8].

FCA regulated businesses should refer to the FCA Handbook for specific details and ensure they have effective complaint handling processes in place to meet regulatory requirements[1][3].

Also see our page fca regulated firm’s internal complaint handling procedures at


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