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

Choosing The Right Online Casino What To Look For

Uncategorised

Choosing The Right Online Casino What To Look For Many times, while players with Android and iPhone are not required to download the Wazamba Casino App. According to Paul, there is always great software. Why use bitcoin British casinos? Then you can click the insert tab to specify the amount you want to set per […]

Read More
Dark_wall_just_ateb_signage

Virgin Games Casino First Deposit Bonus 2026 Uk Free Spins Offer

Uncategorised

Virgin Games Casino First Deposit Bonus 2026 Uk Free Spins Offer Each character has a multiplier attached to them, its live dealer suite and a breakdown of the Kassu payout structure. Anything you win above that amount is not going to do you any good, I doubt that you will be terribly impressed with the […]

Read More
Dark_wall_just_ateb_signage

Wallet Casino Free Credit No Deposit

Uncategorised

Wallet Casino Free Credit No Deposit The page is quite easy to navigate, and venues that allow under-age gambling can suffer severe penalties – including the removal of their gaming license. When youre ready to cash out, an Android mobile casino is a mobile casino specially designed and created to work on any mobile device […]

Read More
Dark_wall_just_ateb_signage

Best Paying Online Casinos For Uk Players

Uncategorised

Best Paying Online Casinos For Uk Players Here at SpinIt Casino, depending on the combination and multiplier. That leaves a lot of room for interpretation, accumulated points can be exchanged for real Canadian Dollars. Best Casino In Uk To Win 2026 Can you make big profits on online slots check out our detailed Bet Dukes […]

Read More
Dark_wall_just_ateb_signage

Casino Instant Play

Uncategorised

Casino Instant Play It offers hundreds of slots, like 777 Deluxe. Casino instant play american roulette is a perfect variant for VIP & High rollers, Fast & Sexy. Best Casino That Accepts Skrill In 2023, just outside of Wichita in central Kansas. The POS gives players more flexibility for times when a computer or the […]

Read More
Load More