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Handling Complaints Policy
"I need a Handling Complaints Policy for my fintech startup that complies with FCA regulations and specifically addresses both digital and telephone complaints, to be implemented by March 2025."
1. Purpose and Scope: Defines the objective of the policy and its application scope
2. Definitions: Key terms used throughout the policy
3. Principles of Complaints Handling: Core principles guiding the complaints process
4. Complaint Registration Process: How complaints are received and logged
5. Timeline and Response Standards: Expected timeframes for handling complaints
6. Roles and Responsibilities: Who is responsible for different aspects of complaints handling
7. Appeals Process: How to appeal decisions made
1. Industry-Specific Requirements: Additional requirements specific to regulated industries (for organizations operating in regulated sectors)
2. Special Categories of Complaints: Handling of sensitive or high-priority complaints (for organizations dealing with sensitive matters or vulnerable customers)
3. Third Party Representatives: Handling complaints made through authorized representatives (when accepting complaints through third parties)
1. Complaint Form Template: Standard form for recording complaints
2. Complaint Handler Guidelines: Detailed guidance for staff handling complaints
3. Response Letter Templates: Standard templates for responding to complaints
4. Escalation Matrix: Framework showing escalation levels and responsible persons
5. Data Protection Guidelines: Specific guidelines for handling personal data in complaints
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