Warren will be presenting on the subject of complaints management at the AMI/AFB Seminar Theatre at Earl’s Court 2 on the afternoon of the 13th November. The seminar session will take delegates through the process of receiving and dealing with a complaint in order to act compliantly with FSA rules.
The presentation will look at:
· Dealing with the stigma of complaints.
· Embracing the complaints process to benefit the business.
· Handling a complaint.
· Preparation and the formal process.
· Complaint hand-offs.
· Internal investigations.
· Dealing with the Financial Ombudsman Service (FOS).
Bill Warren, Managing Director of Bill Warren Compliance LLP, commented: “As we move further down the road of statutory regulation it is increasingly likely that intermediary firms will begin to receive more complaints. My presentation at Expo will outline how firms can put in place a complete management process in order to deal with complaints and their outcome. As with so many aspects of regulation it is important not to be afraid of the rules regarding complaints but to ensure a robust process is in place in all areas of the business to deal with them. By being prepared in this way a firm can save significant sums and it is vitally important all those employed at the firm have a positive attitude to dealing with complaints.
“My presentation aims to give firms the building blocks to put in place a ‘TCF focused’ complaints handling process and to show how they can go about dealing with, not just the complainant but the FOS should they need to. Any firm looking to specifically review their own complaints procedures can use this session as a starter before seeking independent expert help to develop their own process to meet the standards required. Complaints are a fact of life for all advisory firms, however at Expo next week I will show how they can be dealt with simply and efficiently to ensure they are not a significant cause of pain.”
Bill Warren Compliance LLP has been established to provide personal compliance advice to firms providing the full range of compliance services and providing recommendations to ensure compliance standards are met by applying a practical common sense approach.
Bill Warren Compliance LLP offer a range of compliance services all focused on the individual business model of the firm. Services range from reviews of management and controls, file checking, Treating Customers Fairly (TCF) requirements and Management Information, and FSA relationship to advise on the best approach to Principles-based regulation.
For more information on Bill Warren Compliance LLP, visit: www.billwarrencompliance.co.uk
