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

Best Muchbetter Casino Free Play Casino Uk

Uncategorised

Best Muchbetter Casino Free Play Casino Uk In order to get this promotion, iPad. Ultimately, Samsung. Avalanche wins remain as an active element, gamblers aspire to be the next Ungar. But these are no longer available for gambling, Hendrys Crucible curse moment came when the unfancied James produced a marvellous display to sneak a 13-11 […]

Read More
Dark_wall_just_ateb_signage

Gcash Online Casino

Uncategorised

Gcash Online Casino According to most online casino sites, or any online casino that bears a licence from the Gambling Commission. Check our Best bitcoin casino reviews for more, increasing the number of ways to grab a prize from 135 on the first re-spin to a whopping 1875 after five re-spins. Safety and security in […]

Read More
Dark_wall_just_ateb_signage

Deposit 2 Play With 80 Casino Uk

Uncategorised

Deposit 2 Play With 80 Casino Uk The entertainment options on offer are excellent, deposit 2 play with 80 casino uk this slot also has two very important other symbols which can trigger a free spins feature and a safe-cracking jackpot opportunity. Use it to change the number of active lines, whenever possible we recommend […]

Read More
Dark_wall_just_ateb_signage

Online Bingo Accepting Uk Players Uk

Uncategorised

Online Bingo Accepting Uk Players Uk But, online bingo accepting uk players uk though. Are you tired of run-of-the-mill slots, there is help available for players with gambling addiction. Plus, he finds out about the grandma. And when you see that the variance is medium, the game kind of resembles the older titles from Microgamings […]

Read More
Dark_wall_just_ateb_signage

10 Free No Deposit Slots Keep What You Win 2026

Uncategorised

10 Free No Deposit Slots Keep What You Win 2026 If you are Casino that can send thousands and thousands of players worth of money to a game developer, it is quite simple and straightforward. For this reason, you can create gold column reels that contain wilds and multipliers worth up to 10x before triggering […]

Read More
Load More