SIFA 11.2 Complaints reporting to the FSA
Why do you need to submit a complaints report?
When are the reporting periods?
How do you submit a report?
There is a standard form to use when submitting your return.
- (1)
On-line submission: the on-line system goes 'live' on the first day after the end of each reporting period e.g. 1 April for reporting period 1 October to 31 March. You will need a password to use the facility. Please contact your usual supervisory contact, which will normally be the IFD Contact Centre, if you do not already have a password.
- (2)
Paper form: there is a paper form that is available for firms that do not have an Internet facility. You will find it on the CD-ROM by clicking on 'Handbook', 'Forms', 'Dispute Resolution: Complaints' and then 'Annex 1R: Complaints return'.
Where are the relevant Handbook sections?
The following sections of DISP are relevant:
- (1)
an explanation of what an eligible complainant is: DISP 2.4.3 R;
- (2)
the reporting periods: DISP 1.5.6 R;
- (3)
the Financial Ombudsman Service funding rules: DISP Chapter 5; and
- (4)
how to notify the FSA if you do not conduct business with eligible complainants: DISP 1.1.7 R- DISP 1.1.8 R.