Financial services complaint management frequently asked questions

Question 1

How does Complyr support FCA DISP complaint handling?

Accepted Answer

Complyr supports FCA DISP complaint handling with fully configurable workflows, evidence ready case files, audit trails and a secure case portal. Focus on important next steps and regulatory deadlines by assigning actions and flags to each stage. Keep evidence, correspondence and decision rationale in one case file, reducing admin burden and keeping cases moving forward.

Question 2

How can Complyr help us with Consumer Duty oversight?

Accepted Answer

Complyr can help with Consumer Duty oversight by providing structured complaint data directly from case files for reporting and analysis. Organise root causes into a hierarchy of categories and subcategories to identify recurring issues and target improvements. Track complaint trends and customer outcomes over time to evidence whether the fixes you put in place are working.

Question 3

Does Complyr support FCA COM001 complaints reporting?

Accepted Answer

Yes. Complyr fully supports COM001 data capture, categorisation and reporting through fully configurable case fields and workflows. Your team can configure these now around your firm’s reporting requirements, ready to collect and categorise the required data from 1 January 2027.

Question 4

How can we record customer vulnerability when handling FCA DISP complaints in Complyr?

Accepted Answer

Complyr lets you record customer vulnerability and support needs using configurable fields, flags and additional complaint workflow steps. Vulnerability flags remain visible on the complaint file, where your team can record updates and actions. For COM001 reporting, separate fields can be used to capture whether a customer has been identified as being in vulnerable circumstances, however identified and whether or not relevant to the complaint, and whether the complaint relates to or was caused by your firm’s failure to consider or respond appropriately to that vulnerability. This supports both customer care and the vulnerability data collection required from 1 January 2027.

Question 5

How does Complyr help us prepare for complaint FOS submissions and compliance audits?

Accepted Answer

Complyr helps you prepare for complaint Financial Ombudsman Service (FOS) submissions and compliance audits by keeping complaint evidence, correspondence and decision rationale together. Review the full complaint history, rename files for clarity and download relevant files individually or in bulk.

Question 6

Can Complyr manage financial services complaints involving multiple parties?

Accepted Answer

Complyr helps you manage complaints involving multiple parties through a secure case portal. Exchange messages, files and reports with customers and relevant third parties, such as brokers, repairers, loss adjusters, suppliers and contractors. Control what each party can access while keeping your internal complaint file private.

Question 7

How can Complyr’s complaint management software help reduce FOS referrals?

Accepted Answer

Complyr helps reduce Financial Ombudsman Service (FOS) referrals by making complaint handling more efficient, giving your team more time to investigate thoroughly and write final responses that answer each customer’s questions and explain the decision rationale. Keeping customers informed at every stage helps reduce frustration and improve their understanding of the outcome. Teams using Complyr have reported 89% fewer FOS referrals.

Financial services complaint management software

Support for FCA COM001 complaints reporting and Consumer Duty oversight

89% fewer cases escalated to FOS

96% of complaints closed in under 8 weeks

Capture the data needed for COM001

Take control of regulated complaint handling

Keep complaint files evidence-ready

Structure your FCA DISP workflow

Keep everyone in the loop

Strengthen Consumer Duty oversight

Financial services complaint management software FAQs