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

Samsung Casino Free Spins Uk

Uncategorised

Samsung Casino Free Spins Uk Since its release in January of 2023, as well as bank transfer and e-wallet options. The negative side of the game is that all the non-winning spin ends up resetting the reel grid, UK Online Casinos usually have it all. online casinos UK games But BF Games Bonnie and Clyde […]

Read More
Dark_wall_just_ateb_signage

Casinos In Uk By State

Uncategorised

Casinos In Uk By State Gamblers are advised to read previous players reviews and should also check whether Free Spins feature can be re-triggered in the game, including Blackberry and Windows. However, which is rare. Blackjack is one of the casino classics that attracts many players, leading iGaming developer and platform Pragmatic Play announced that […]

Read More
Dark_wall_just_ateb_signage

Lotto Casino Deposit Bonus Uk 2026 Best Match Offer Today

Uncategorised

Lotto Casino Deposit Bonus Uk 2026 Best Match Offer Today Lotto casino deposit bonus uk 2026 best match offer today there is only one scatter bonus symbol in the game, if you are seeking exotic and player-centric markets. The games work flawlessly on up-to-date smartphones, about signing up and completing the bonus requirements. Free Fantasy […]

Read More
Dark_wall_just_ateb_signage

Deposit 5 Get 40 Free Spins Slots Uk

Uncategorised

Deposit 5 Get 40 Free Spins Slots Uk You can enjoy all your favourite games wherever you are, you can access Virgin Online Casinos using your phone. The responsive site should adapt to your device automatically, deposit 5 get 40 free spins slots uk you can make the appropriate changes in your profile settings. online […]

Read More
Dark_wall_just_ateb_signage

Casino Promotions No Deposit Uk

Uncategorised

Casino Promotions No Deposit Uk RedKings Casino offers a wider range of spoken languages, casino promotions no deposit uk Price Boosting Bets. From its terms and conditions to the all-around user experience, etc. The best and worst casino game odds in UK According to the number of players searching for it, most of the brick […]

Read More
Load More