Financial - Complaints management software for FCA

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Civica complaints management software for Financial Services has been designed to enable UK financial services providers to meet the requirements set out in the FCA DISP handbook. The UK’s Financial Conduct Authority (FCA) regulates banks, financial firms, insurance providers and advisers so that markets and financial systems remain sound, stable and resilient

The FCA requires financial services providers to have an effective dispute resolution scheme in place and has published the DISP handbook.

This part of the FCA Handbook sets out how complaints are to be dealt with by firms and the Financial Ombudsman Service (FOS). It refers to relevant provisions in the Act and in transitional provisions made by the Treasury under the Act. It includes rules made by the FCA and rules made (and standard terms set) by FOS with the consent or approval of the FCA.

An easy-to-use, cost-effective and intuitive system, Civica’s FCA complaints management solution, makes it easy to capture, manage, track and report on complaints and feedback regardless of where and how the customer contacts your organisation.

Civica complaints management software for Financial Services is highly configurable to align with the FCA Consumer Duty requirements of “higher and clearer standards of consumer protection across financial services putting their customers’ needs first”. There is special emphasis on customers more likely to have characteristics of vulnerability, we would expect organisations to take additional care.

Civica’s complaints management software for Financial Services includes:

    • Workflows and correspondence that are pre-defined to meet the prescribed timescales for initial handling and escalated handling of complaints and disputes.
    • Granular classification of complaints to enable effective root cause analysis to be conducted to prevent systemic issues from going unnoticed.
    • Simple to use facilities for the capture of complaints to enable logging and tracking from initial contact with contact through to escalated handling operations.
    • Email, web form, telephony, and social media integration tools to enable complaints to be collected from any channel.
    • Full reporting, team-specific dashboards, and analysis tools.
    • KPI tracking and measurement.
    • Full support for external dispute resolution processes – with the facility to support sharing of case file information with the banking Ombudsman Service if and when a complaint is externally escalated by a consumer.
    • Fully extendable case management platform – utilise for Section 75 (S75) disputes, chargebacks, claims, data privacy requests, financial crime casework, all can be further extended as a configuration service, to enable your organisation to collaborate with merchants, comply with regulations, improve service levels and enhance customer experience.

If you would like to learn more about Civica Complaints Management for Financial Services, contact us to book a demo.




We haven't changed our processes: we've just made everything easier, more efficient, and more secure. We have a complete audit trail of each case; all documents and exchanges are automatically stored in the case file with no manual entry required.

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