Whether you are just starting out in the financial services industry or are a seasoned compliance professional, this book is a must-read. Lee’s practical approach and expert guidance will help you navigate the complexities of FCA regulated complaint handling and achieve compliance with ease.

 Objectives and Purpose of the Book 

The objectives and purpose of this book, A Practical Approach to FCA Regulated Complaint Handling: Tips and Strategies for SMEs , is to provide guidance and support for compliance officers and small and medium-sized business owners in the UK who are involved in FCA regulated complaint handling.

The Financial Conduct Authority (FCA) is the regulatory body responsible for overseeing financial markets and ensuring that firms comply with regulations and treat their customers fairly. Therefore, for businesses operating in the financial sector, it is crucial to have a clear understanding of the FCA's rules and regulations regarding complaint handling.

This book aims to equip readers with practical tips and strategies to help them effectively manage FCA regulated complaints. The book is structured to provide a comprehensive overview of the FCA's rules and regulations concerning complaints handling. It also includes practical templates, examples, and case studies to help readers understand how to apply the FCA's rules to real-life situations.

As a compliance officer or SME owner, you will learn how to:

- Understand the FCA's rules and regulations regarding complaints handling.

- Create a robust complaints handling process that meets the FCA's requirements.

- Manage complaints effectively and efficiently.

- Respond to complaints in a timely and professional manner.

- Use complaint data to improve your products and services.

- Avoid common mistakes and pitfalls in complaints handling.

This book is specifically tailored to the needs of compliance officers and SME owners who want to improve their understanding of FCA regulated complaint handling. It is written in a clear and concise manner, making it easy to follow and understand.

Whether you are new to FCA regulated complaint handling or have been handling complaints for years, this book is an invaluable resource that will help you stay compliant and improve customer satisfaction. By following the tips and strategies outlined in this book, you can build a robust and effective complaints handling process that meets the FCA's requirements and ensures that your customers are treated fairly.