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Questions and Answers
What is the first step if a client wants to file a complaint in writing?
Assist the client to put it in writing
Can the adviser resolve the client's complaint immediately?
Yes, if possible
If the complaint cannot be resolved immediately, what is the next step?
Internal system: adviser and client state their case
Who makes the decision in the internal system step?
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What should the adviser do after making a decision?
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What should be done if the complaint is justified?
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What should the adviser do if the client is not satisfied with the decision?
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What can the client do if they are not satisfied with the external (industry) procedures?
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What should the adviser do at all times during the complaint handling process?
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What is the purpose of the Financial Ombudsman Service (FOS)?
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