Consumer Financial Services Complaints and Compensation

A Guide for the Financial Services Market
2. Auflage 2015
ISBN: 978-0-414-03404-4
Verlag: Sweet & Maxwell

Buch, Englisch

This fully revised new edition examines the compliance and redress regime for mis-selling, administration and claims problems with a practical emphasis on complaint handling, It is an easy to use guide to the complaints sourcebook for the smaller IFA. For larger firms and their professional advisers it acts as an effective reference book enabling the reader to rapidly refresh their understanding of the rules and "best practice" procedures.

Autoren/Hrsg.

Samuel, Adam

Fachgebiete

• Rechtswissenschaften Ausländisches Recht Common Law (UK, USA, Australien u.a.)

Inhaltsverzeichnis

- The rules to be applied
- Sales complaints - deciding whether a firm is liable
- Deciding whether the firm is liable: endowments
- Deciding whether the firm is liable: pensions
- Deciding whether the firm is liable: savings, investments and whole of life policies
- Avoiding liability
- Administration and other service complaints: deciding whether the firm is liable
- Compensation - the basic principles
- Compensation for mortgage endowment misselling
- Compensation for pension misselling - part one
- Pension compensation part two - practical applications
- Compensation for administration complaints
- Claims - life and general insurance
- The scope of the FSA complaint rules (DISP)
- The complaints procedure
- Identifying complaints
- Acknowledgement
- Investigating complaints
- The final response
- Closing the case
- The Financial Ombudsman Service
- Disciplinary action and other dispute resolution options