Step 02 / Explore the pack

See every complaint timed and every cause analysed.

A visual view of the Investment and wealth edition before you open Excel. Choose a tab to explore the illustrative worked example.

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Investment and wealth

Complaints MI and DISP board report · illustrative example firm: Hollin Wealth Partners Ltd

Change edition
40
Complaints logged

Over four quarters

03
Still open

At the as-at date

04
Late or overdue

Flagged

04
Referred to the FOS

In the year

complaints-disp-board-report-wealth-workbook-worked-example.xlsxIllustrative example

Status as at 30 Sep 2026

Open complaints overdue: 1

  • Complaints recorded

    40

  • Open

    3

  • Open and overdue

    1

  • Closed in time

    34

  • Closed late

    3

  • Closed within 3 business days

    6

  • Upheld or partly upheld

    21

  • Redress paid

    £4,760

  • Referred to the FOS

    4

Records needing attention: 0. Open: 3. Due soon: 0. Overdue: 1. The board summary never says the firm is compliant. It names what is late, missing or unfinished.

See the actual workbook · real Excel sheets, rendered from the example file
Investment and wealth: One-page board summary of complaints (illustrative example)Board summary · opens full sizeInvestment and wealth: Complaints log with business-day deadlines and status (illustrative example)Complaints log · opens full sizeInvestment and wealth: Quarterly complaints MI dashboard (illustrative example)MI dashboard · opens full sizeInvestment and wealth: Counts by product for the FCA complaints return (illustrative example)Return helper · opens full size

Built from the same data and formulas as the worked-example workbook, for an invented firm. Every name and date is invented.

About the Investment and wealth edition

Investment firms, financial advisers, wealth managers, platforms and pension advisers. The eight-week final response limit applies. For a MiFID investment firm, DISP 1.1A applies to MiFID complaints and applies certain other provisions of DISP 1 to them, and it covers complaints from clients who are not eligible complainants as well. The half-yearly complaints return applies, with publication of a complaints data summary if you report 500 or more complaints in a period.

MiFID complaints from clients who are not eligible complainants are outside the eight-week Handbook rules in some respects (DISP 1.1A.6R). Record them here if you want the management information, but check which provisions apply to each client.

A partly upheld complaint counts as upheld in the return, and goodwill payments count as redress (DISP 1.10.3G).

The Financial Ombudsman Service wording in the letters is the wording in DISP 1 Annex 3R for a final response.

The FCA does not set a template for a complaints log or a board report. This pack is a practical structure built on DISP 1 and PRIN 2A. See the complaints handling guide and the DISP complaints tool. Cryptoasset businesses registered only under the Money Laundering Regulations are not covered: see the picker page for why.