Supervision Guideline – No. 7. Complaint Handling Procedures
| Supervision guideline | Further clarification |
| 7.1. A principal licensee must prepare and maintain written complaint handling procedures. | A complaint procedure must be available in the agency. The complaints procedure must include a ‘complaints’ register – – You can access my complaints register – in the Templates product – here The team needs to be trained in this procedure. The complaints procedure needs to be available to the clients and customers. – This can be via the agency website. |
| 7.2. Without limiting clause 7.1, the written procedures must provide that: 7.2.1. all complaints and the actions taken by the business in response to the complaint are recorded in a register and retained for at least 3 years from the date of receipt or resolution of the complaint, whichever is later, and 7.2.2. complaints relating to financial transactions are reported to a licensee in charge as soon as practicable and are to be supervised directly by that licensee in charge. | As noted above – details of the complaints must be recorded in a register. Record to be kept for 3 years. Best policy is to: Have all complaints discussed with and reported to the licensee in charge Have the register reviewed regularly; and ensure all tasks followed up and recorded. All complaints of a financial nature must be reported to the Licensee in charge. |