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Ready for FCA DISP

Compliance Management

As focus on privacy laws, and the fair treatment of customers, increases across the globe, you must excel at regulatory compliance.

Enter Aptean Respond—helping you adhere to FCA DISP while delivering exceptional customer service.

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Ensure You're Ready to Fulfill Your FCA DISP Requirements 

Responsible for regulating the conduct of over 59,000 financial services firms in the UK, the reach of the Financial Conduct Authority (FCA) is both wide and deep. The FCA's Dispute Resolution (DISP) rules specify how complaints are to be dealt with by respondents and the Financial Ombudsman Service* (FOS).

That’s why, it’s critical you put in place the right complaints management processes. To ensure best practice. To ensure watertight compliance to FCA DISP regulations. And to ensure optimized customer service that nurtures loyalty.

Aptean Respond not only helps your organization fulfill its FCA requirements, but goes a step further, helping your team deliver an exceptional customer experience. All the while leveraging critical feedback to drive business and process improvements.

* The Financial Ombudsman Service (FOS) is designed to settle complaints between consumers and financial services organizations. Since consumers only turn to the FOS when they're dissatisfied with your complaints handling, many FOS cases could be mitigated through robust, efficient complaint handling in the first place. In the event that there is an escalation however, Respond provides FOS-specific tools and processes as part of the solution to make the procedure more manageable for your organization.

FCA DISP Compliance Made Easy with Aptean Respond

  • Single, unified system to manage entire complaint life cycle

  • Summary Resolution Communication (SRC) sent to every complainant on resolution of their case

  • Multi-entity reporting for biannual complaints return

  • Easy to configure product categories in line with FCA changes

  • Case timeline view shows all aspects of a case in a single view

  • Root cause analysis, helps to identify and resolve systemic issues

  • Facilitates multiple customer communication channels

  • Increased visibility and transparency into customer complaints and feedback for in-depth, actionable insights

  • Automation of key processes to enable faster resolutions

  • FOS-specific tools and processes*

Aptean Respond Complaints Management System

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Start transforming your regulatory compliance

If you’re ready to take your financial services business to the next level, we’d love to help.

Tell us about yourself and an Aptean specialist will be in touch.