All of the following must be recorded:
Date of complaint
Date of initial ...
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...dentify trends where there is a sufficient volume of complaints. (DISP 1.10.2.)
These must contain in addition:
Details of ...
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...heard from the complainant.)
The adviser
Complaints records...
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...a claim in future.
Reporting at adviser level
Since July 2011 the regulator provided a dedicated email address and expected firms to report any competency or ethics issues concerning individual advisers by this means.
In the RMAR (Retail Mediation Activities Return) firms must provide additional complaint statistics at adviser level, which t...
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... report this complaints data and this reporting may occur without the adviser’s knowledge. Adviser records are not to be published and would only be used for disciplinary purposes by the regulator after investigation as it is realised that the adviser may not be responsible for the cause of the complaint that has arisen.
The sup...
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... rules.
