Ready to log your complaints?

Enter your details to download the workbook, Word board report and letters, worked examples and user guide.

Your selected edition

Investment and wealth

Investment firms, advisers and wealth managers

You'll receive

01 — Complaints workbook (Excel)8 product groups, a complaints log, root causes, quarterly MI, a return helper and a board summary
02 — Quarterly board report (Word)A board report template with prompts for volumes, outcomes, root causes, return reporting and decisions.
03 — Response letters (Word)Summary resolution, holding response and final response letters (upheld, partly upheld, rejected) with the FOS wording from DISP 1 Annex 3R.
04 — Worked example workbook (Excel)The same workbook completed for an invented firm with 40 complaints over four quarters.
05 — Worked example board report (Word)The board report completed for the same invented firm.
06 — User guide (PDF)How to use the pack, with every rule explained and sourced.

No account needed. No payment. A practical starting point for your own complaints records, not a substitute for your own judgement or the FCA's return.

Back to the worked example