Complaints Handling  (See also Liaising with Shareholders)

Where the communication from a stockbroker, agent or investor amounts to a Complaint rather than a query, it may need to be sent to the Complaints Handling team to be dealt with as a complaint.

Interview tip

In the UK, there are rules for how a complaint needs to be categorised, how they need to be dealt with, what information needs to be given to investors and the timeframes in which they need to be processed.

It may be useful to familiarise yourself with some of the key points in the FSAs Dispute Resolution Complaints Sourcebook (DISP).

See www.funds-axis.com for more information on Complaints Handling.