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
- 40
- Complaints logged
- 03
- Still open
- 04
- Late or overdue
- 04
- Referred to the FOS
Over four quarters
At the as-at date
Flagged
In the year
Four quarters of the invented firm's complaints, from the MI dashboard sheet.
| Measure | Q11 Oct 2025 | Q21 Jan 2026 | Q31 Apr 2026 | Q41 Jul 2026 |
|---|---|---|---|---|
| Received | 10 | 10 | 10 | 10 |
| Closed | 7 | 11 | 11 | 8 |
| Closed within 3 business days | 2 | 1 | 3 | 0 |
| Closed late | 0 | 2 | 1 | 0 |
| Open at quarter end | 3 | 2 | 1 | 3 |
| Upheld or partly upheld | 5 | 7 | 4 | 5 |
| Redress paid | £1,205 | £1,555 | £790 | £1,210 |
| Referred to the FOS | 1 | 1 | 0 | 2 |
See the actual workbook · real Excel sheets, rendered from the example file
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.