Consumer Financial Services Complaints and Compensation, 2nd Edition

Law › Banking / Finance

Consumer Financial Services Complaints and Compensation, 2nd Edition

By Adam Samuel
Sweet & Maxwell U.K. July 2017

Specifications

ISBN-13
9780414034044
Publisher
Sweet & Maxwell U.K.
Publication
July 2017
Format
Paperback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

This fully revised new edition, previously called Consumer Complaints and Compensation: A Guide for the Financial Service Market, examines the compliance and redress regime for mis-selling, administration and claims problems with a practical emphasis on complaint handling.

 

Consumer Financial Services Complaints and Compensation examines the compliance and redress regime for misselling, administration and claims problems with a practical emphasis on complaint handling. It helps financial services firms and their advisers understand and apply all the current rules and best practice procedures relating to the fair treatment of customers.

  • Explains in detail the FCA’s complaints rules in the DISP sourcebook
  • Gives step-by-step coverage of the complaint handling procedure, from identifying and investigating complaints to the decision whether to uphold
  • Covers the complaints procedures in specific types of claim, including mortgages, pensions, PPI and general insurance complaints
  • Gives detailed explanation of the principles of compensation and the claims process
  • Looks at the Financial Ombudsman Service and other dispute resolution options, including FSCS, enforcement action and arbitration
  • Incorporates all changes arising from the Retail Distribution Review, MiFID II, IMD II, and the FCA Handbook

Table of Contents

Part 1: Handling Complaints
The Scope of the FCA Complaints rules (DISP)
Building the complaints procedure
Identifying complaints
Acknowledgement
Investigating Complaints
Assessing the Complaint (including the Rules to be Applied)
Closing the case
The Financial Ombudsman Service
Other dispute resolution options, including FSCS, enforcement action and arbitration

Part 2: Deciding whether to uphold the complaint
Sales complaints generally – deciding whether the firm is liable
Savings and investment complaints
Pensions complaints
Mortgage related sales complaints –
endowments, pensions and interest- only generally
lifetime mortgages and equity redemption
bad lending complaints
General insurance sales complaints
PPI sales complaints
Protection sales complaints
Administration complaints
Avoiding liability
Causation
Non-advised
Execution-only
Insistent customer

Part 3: Compensation
The general principles
Pensions
Mortgage-related complaints
General insurance complaints, particularly PPI
Administration complaints
Claims

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HKD 2,520.00

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