Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

complaint

  1. (1) [deleted]
  2. (2) (in SUP 10 and DISP, except DISP 1.1 and the complaints handling rules and the complaints record rule in relation to MiFID business, and in CREDS 9 ) any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, a person about the provision of, or failure to provide, a financial service or a redress determination, which:
    1. (a) alleges that the complainant has suffered (or may suffer) financial loss, material distress or material inconvenience; and
    2. (b) relates to an activity of that respondent, or of any other respondent with whom that respondent has some connection in marketing or providing financial services or products, which comes under the jurisdiction of the Financial Ombudsman Service.
  3. (3) (in DISP 1.1, the complaints awareness rules only in relation to collective portfolio management and the complaints handling rules and the complaints record rule only in relation to MiFID business and collective portfolio management) any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, a person about the provision of, or failure to provide, a financial service or a redress determination, which alleges that the complainant has suffered (or may suffer) financial loss, material distress or material inconvenience.
  4. (4) (in DISP) reference to a complaint includes:
    1. (a) under all jurisdictions, part of a complaint; and
    2. (b) under the Compulsory Jurisdiction, all or part of a relevant complaint or a relevant credit-related complaint.