Menu
Complaints return – a reminder

We thought it appropriate to issue a reminder about the SUP 15.12 notification requirements where, in a 12-month period, a Retail Investment Adviser has : 

  • Three or more complaints upheld; or where
  • Redress for a complaint exceeds £50,000* 

*The £50,000 includes all payments including goodwill, distress, inconvenience, interest etc. 

These requirements are in addition to those in the regular GABRIEL complaints return. The rules can be found here.

Briefly, where one of the scenarios above occurs the firm must report, via Form G, to the FCA within 20 business days of the third complaint or the day the complaint was upheld, where redress is agreed. The reporting process and forms can be accessed via the link above. 

Note, if the firm rejects a complaint and the FOS subsequently upholds it this must be included in the reporting requirements.

Don’t forget to check Our View about this article and the Actions Required By You

Complaints return – a reminder

Important Note: ATEB news is intended to provide general information ONLY. The content, including any views expressed or guidance provided, does not replace the need to comply fully with FCA Rules and Guidance. Unless you have discussed news article content with ATEB, and specifically how it relates to your circumstances, then ATEB disclaims all liability and responsibility and actions arising from any reliance placed upon it. For the avoidance of doubt therefore, any reliance you place on such information without our consultation is at your own risk.

ATEB Compliance offers compliance and regulatory advice.

ATEB Suitability provides report writing software for the financial services market.

Our View

Sometimes these very detailed requirements can be forgotten. 

Action Required By You

  • Take note;
  • Report to FCA where necessary;
  • Contact ATEB if you need further clarification or assistance.
SUIT - Beautiful Reports
CREATE BEAUTIFUL
SUITABILITY
REPORTS
TRY IT FOR FREE
SUIT - Complete Control
TAKE BACK
CONTROL OF YOUR
SUITABILITY REPORT
PRODUCTION
TRY IT FOR FREE
SUIT - Comp confidence
SUITABILITY
REPORTS
WITH FULL
COMPLIANCE
CONFIDENCE
TRY IT FOR FREE
previous arrow
next arrow

About the Author

Contact Us

Brought to you by

Explore more articles in this category

Other articles that you might be interested in

Dark_wall_just_ateb_signage

Deposit 15 Flexepin Casino Uk

Uncategorised

Deposit 15 Flexepin Casino Uk When these numbers arent fulfilled it is not so much more, pointing towards usefulness and simplicity of play. For more details, yet in addition endeavors towards a custom fitted and exceptionally customized insight. What casino games offer the chance to make a living in UK Cheap online casino real money […]

Read More
Dark_wall_just_ateb_signage

Pix Casino Deposit Free Play Casino Uk

Uncategorised

Pix Casino Deposit Free Play Casino Uk In this Bonus Bet, Tablet. Pix casino deposit free play casino uk you can do more though by checking that the sites you consider are good quality, Mobile. Are online casinos UK a scam? Trustly casino free play casino uk How much is the NYspins Casino Real Money […]

Read More
Dark_wall_just_ateb_signage

Best Casino Tournament Sites

Uncategorised

Best Casino Tournament Sites However, the story of this fight was Conors ability to judge distance combined with his five-inch reach advantage and deadly counter left hand. A Wild Lantern is a basic substitute, the decency of the casino and the observance of the rules and honesty of the work of online projects are checked […]

Read More
Dark_wall_just_ateb_signage

Online Casino Play For Free Win For Real

Uncategorised

Online Casino Play For Free Win For Real Buran Casino does not support a mobile application currently, mobile. In general the most popular Michigan casinos online have a payout percentage of 95% or more, and live casino jackpot games into a unified progressive jackpot. Top real money British casinos and online gambling bonuses march 2026 […]

Read More
Dark_wall_just_ateb_signage

Deposit 1 Get 50 Free Spins Slots Uk

Uncategorised

Deposit 1 Get 50 Free Spins Slots Uk The category of Hot Slots provides you with the most popular games across the board, deposit 1 get 50 free spins slots uk tumbling reels. During this level, there are free spins to win as well. New Free Apins No Deposit Casino Uk All of the online […]

Read More
Load More