European Institute of Management and Finance
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With the preservation of a strong consumer protection focus by the Central Bank, ‘Complaints Handling’ and ‘Treating Customers Fairly’ (under the Consumer Protection Code) is a priority for customer/consumer-facing firms. The manner in which consumers and customers are treated will be the subject of continued supervision and enforcement work by the Central Bank. Using current case studies, this course is essential for firms wishing to demonstrate their understanding of, and compliance with, these important principles and integrate these into their businesses and culture. This course covers the Financial Services Ombudsman’s complaints procedures. This course will also be of benefit to MiFID firms as there is no underlying rule on how these firms must handle complaints under the MiFID Regulations.
By attending this course participants will:
- understand regulators requirements in this key area;
- understand regulators expectations of senior management and staff involved in complaints handling;
- learn how the principle of treating customers fairly interacts with your firm’s complaints handling requirements;
- develop their understanding of TCF;
- be equipped to begin to assess their firm’s compliance with complaints handling procedures and the TCF principle;
- be in a position to recognise and effectively close gaps in policies, procedures and processes;
- know the common problems and weaknesses encountered in the industry;
- understand the questions the Central Bank’s supervisors might ask and areas they might review;
- gain a full understanding of the full role and powers of the regulator;
- learn the fundamentals of making objective decisions with regard to consumer complaints;
- increase your confidence and competence with TCF;
- understand how appropriate procedures and processes will build positive customer relationships and reduce the need for cases to be referred to the regulator; and
- see how mock examples of complaints will be utilised to show how the complaint should be properly handled.
Who is this course for?
- Directors (Executive & Non-Executive)
- Compliance Officers
- Customer relationship staff & managers
- Complaints investigation staff
- Customer relations staff
- Customer feedback & performance analysis staff
- Client Sales staff
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