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Status: You are viewing the version of the handbook as on 2011-04-29.

COAF 1.3 The Complaints Commissioner

COAF 1.3.1G
  1. (1)

    The FSA must appoint an individual, subject to the approval of the Treasury, as Complaints Commissioner to carry out the functions conferred on him by the complaints scheme.

  2. (2)

    In appointing the Complaints Commissioner, the FSA is advised by an appointment panel comprising the Deputy Chairman of the FSA, the Chairmen of the Practitioner and Consumer Panels established under sections 9 and 10 of the Act and another person who is independent of the FSA.1

COAF 1.3.2G
  1. (1)

    The Complaints Commissioner is appointed for a period of three years and may be dismissed from office only for reason of becoming:

    1. (a)

      incapacitated by physical or mental illness; or

    2. (b)

      otherwise unfit to discharge the functions of his office;

    and subject in either event to the approval of the Treasury.

  2. (2)


  3. (3)

    The Complaints Commissioner must not be an employee of the FSA and is required to act independently of, and without favouring, the FSA.

COAF 1.3.3G

The FSA will provide the Complaints Commissioner with sufficient financial and other resources to allow him to fulfil his role under the complaints scheme properly.1

COAF 1.3.4G
  1. (1)

    2In circumstances where the Complaints Commissioner is unable to investigate a complaint, the FSA will, subject to the approval of the Treasury, appoint an individual to carry out the functions conferred on the Complaints Commissioner by the complaints scheme. For example, the Complaints Commissioner may be incapacitated by a sudden, but temporary illness or his investigation of a complaint may give rise to a conflict of interests.

  2. (2)

    In appointing the individual, the FSA will ask the President of the Law Society to nominate a solicitor.

  3. (3)

    The complaints scheme will apply in full to an investigator appointed under COAF 1.3.4 G (1) and the Complaints Commissioner will have no interest in investigating that complaint.