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Status: You are viewing the version of the handbook as on 2019-09-14.

DISP 1 Annex 1AB Claims management complaints and redress return form

DISP 1 Annex 1ABRR

1Currency: Sterling only

Units: Integers

A

Group reporting

1

Does the data reported in this return cover complaints relating to more than one firm?

(NB: You should always answer “No” if your firm is not part of a group.)

2

If “Yes” then list the firm reference numbers (FRNs) of all of the additional firms included in this return.

Nil return declaration

3

We wish to declare a nil return

(If yes, leave all questions on complaints activities, including contextualisation, blank.)

Return details required

4

Total complaints outstanding at reporting period start date.

5

Total number of complaints opened during the reporting period.

Complaints data publication by FCA

6

If you are reporting 1000 or more complaints, do you consent to the FCA publishing the complaints data and information on context contained in this report in advance of the firm publishing the data itself?

7

If “Yes”, do you confirm that the complaints data and information on context contained in this report accurately reflects the information required to be published by the reporting firm under DISP?

Contextualisation data

8

Total number of leads generated or obtained during the reporting period

9

Total number of claims opened during the reporting period

Table 1

A

B

C

D

E

F

Type of claim

Numbers of complaints during reporting period

personal injury claims

financial services or financial product claims

housing disrepair claims

claims for a specified benefit

criminal injury claims

employment-related claims

10

Total number of complaints

Main focus of complaint

11

Lead generation, unsolicited marketing and cold calling

12

Quality of advice / provision of misleading information (including in advertisements)

13

Customer service issues (including call handling)

14

General administration

15

Upfront fees

16

Fee dispute (at settlement – other than one in 17 below)

17

Fees in excess of the claims management fee cap

18

Claim outcome

19

Process for obtaining and/or sharing of customer data

20

Delay in processing claim

21

Other – please provide details

Table 2

Number of complaints closed during the reporting period (22 to 25) and complaints upheld (26)

Redress paid, in integers (27 to 30): for example, figures for redress paid should be to the nearest pound not to the nearest thousand pounds. Include all amounts in excess of the claims management fee cap, whether a refund of fees paid or a waiver of excess fees.

22

Complaints closed within 3 days

23

Complaints closed within 8 weeks, but after more than 3 days

24

Complaints closed after more than 8 weeks

25

Total complaints closed

26

Complaints upheld

27

Redress paid for upheld complaints

28

Redress paid for complaints not upheld

29

Redress in relation to the claims management fee cap, where this was done at the firm’s instigation rather than as the result of a complaint about the fee

30

Total redress paid