Session 4: Complaints Handling - Searchlight Insurance Training

Session 4: Complaints Handling

The session will consider the commercial importance of dealing with complaints efficiently and effectively. It will examine the regulatory requirements that relate to complaints handling, with reference rules and procedures laid down by FCA and Lloyd’s, as well as taking into account the systems and controls necessary to ensure accurate recording and timely reporting of complaints. The Financial Ombudsman Service’s role will also be examined.


Duration: 0.2 day(s) CII CPD Hours: 1.5


The learner should be able to demonstrate an understanding of the basic principles of complaint handling and the importance of effective and efficient dispute resolution, familiarising themselves with the specific and more general regulatory requirements relating to the subject, including the function of the Financial Ombudsman Service.

Areas covered:

The session will address the following topics:

  • Definition of ‘complaint’
  • FCA & Lloyd’s rules and guidance on complaints handling
  • The importance of root cause analysis and ‘closing the loop’

The role of the Financial Ombudsman Service