What is in the documents
Complaints Register Template: This document contains a template Complaints Register.
Who the documents are for
These documents are suitable for use as brief guidance for those undertaking compliance roles within your firm and who are responsible for dealing with the subject matter of the documents. You may also wish to circulate the documents to your compliance team/relevant persons to provide a useful overview on the topic.
How to use the documents.
Complaints Register Template: This template register can be used to record complaints received at your Firm and provides examples of the type of information that Firms should consider recording. The template should be adapted and completed as appropriate for your Firm.
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