A 45-minute, CPD-assessed course built around the part that actually fails: not the process after a complaint is logged, but the moment before it, when a sentence in an email or a remark at the end of a call reaches somebody who decides it is not a complaint. Scheduled, chased and certified for you.
CPD assessed. Every pass issues a certificate carrying the CPD mark.Every missed complaint has a reason attached, and there are really only four. Learn to hear yourself saying one and you will catch most of what you would otherwise lose.
The word appears nowhere in the definition. What matters is what was expressed, not what it was called.
That is a judgement about tone, and tone is not part of the test. Log it and let somebody else weigh it.
It can easily be both. The late payment is an operations issue. The investor telling you it cost them is a complaint about it.
Their generosity does not switch off the firm's obligations, and it is the polite complainant who ends up worst served.
Every point is illustrated twice: once at a fund manager, where an investor is unhappy about a valuation, a fee or a late redemption, and once at an advisory firm.
The definition clause by clause, the limb people forget (material inconvenience), what is genuinely not a complaint, and complaints from other firms and institutional investors.
How a complaint sounds at a fund manager and at an advisory firm, the four things people tell themselves when they let one go, and where complaints get lost. Includes a filmed scenario.
Who is broadly covered, why an institutional manager still handles complaints, the carve-outs and what to do with them, and what to do when somebody senior says a complainant is not eligible.
The timescales, who investigates, what the final response contains, the Financial Ombudsman Service, and when and for how long a complainant can go to it.
What a pattern looks like from the inside at a fund manager and at an advisory firm, why several small complaints matter more than one large one, and two things people get wrong about root cause.
Consumer support and the rule against unreasonable barriers to complaining, the barriers firms actually build, monitoring outcomes, what applies with no retail customers, records and reporting.
The three things to do and the four not to do when somebody tells you they are unhappy, and what to do if you only heard it second hand. Includes a filmed scenario.
What to take away and four things worth doing this month, followed by the test and the certificate.
Most of them are well meant. That is why the course spends time on them.
Sorting it out off the record keeps a real problem out of the firm's data and denies the complainant the process they are entitled to.
Not a refund, not a fee waiver. A promise you cannot keep turns one complaint into two.
You do not have to tell them what it is called, and you do not want to talk them out of it.
A record improved after a complaint arrives is worse than a bad record, because it looks deliberate.
The regulatory machinery after a complaint is logged is well documented. Everything in this course exists to explain why the decision that something is not a complaint is not the recipient’s to make. By the end, a learner can:
Two short films, shot for Fundsure with the same cast across the catalogue. In one, an investor’s finance director asks for a fee breakdown in an email that also mentions a redemption that went wrong. In the other, a colleague overhears the end of a phone call in which a client sounds unhappy. After each, the learner chooses what to do, and is told why the tempting answers are wrong: answering the fee question and leaving the redemption because operations fixed it, asking whether it is meant as a formal complaint, or leaving it with the colleague who took the call.
The test at the end draws 10 questions from a bank of 30, with a pass mark of 80%, and a pass issues a named, CPD-marked certificate that anyone can check online.
DISP requires effective complaints procedures, root cause analysis and an individual of appropriate seniority overseeing them. None of it works if the complaint never arrives, and the Consumer Duty treats a firm that makes complaining hard as failing its customers.
In the Fundsure Portal the course is scheduled for everyone who talks to clients, chased before the deadline, and every sitting, score and certificate is kept and carried into the compliance officer’s report to the board.
How the portal runs trainingComplaints Handling plus Suitability, Conduct Rules, Data Protection and the rest of the catalogue of 20, with no per-course fees.
Where advice complaints start, and the file that has to answer them.
See the courseFair treatment and good outcomes for retail customers.
See the courseWhen a complaint is also a request for the client's data.
See the courseWhen the concern is about the firm itself, raised from inside.
See the courseWe will send you a link to take the whole course, filmed scenarios and test included, or walk you through the portal with a demonstration firm.
