Initial Response Letter to a Complaint | Template for FCA Applications

Reference: (ENTER REFERENCE)

Dear (TITLE),

I write to confirm that I am investigating the complaint that you made into our offices on (DATE)

Naturally I am disappointed that you feel our level of service has not come up to your expectations and I
will investigate thoroughly those areas that have prompted your complaint to us.

My understanding is that you are dissatisfied with the following: Enter details of complaint(s) here

If I have not accurately reflected the basis of your complaint, please contact me immediately. However, I may also need to contact you to clarify and discuss aspects of your complaint before I can make a formal response.

I anticipate being able to give a full response within 15 business days, however we hope to answer your complaint in a shorter period. Should this not be possible then I will write to you and let you know the reason for the delay and a time scale in which you can expect a written response.

I set out below our time scales for responding to complaints as allowed for under the rules set out by our regulator, The Financial Conduct Authority and in line with our own Treating Customers Fairly policy. We are required to:

Make an initial response to your complaint promptly; we expect to do this within three working days and shall keep you informed of progress,

Make our formal response to you within 15 business days, or if this is not possible then we will write to you advising of the steps we have taken so far and a target date for our formal response which must be within eight weeks.

If we cannot make a formal response within 35 business days, we must tell you when we anticipate being able to make our formal response. You have the right to have your case referred to the Financial Ombudsman Scheme after 35 business days has elapsed since the date we received your complaint (even if we have not made our formal response) or you are not satisfied with our final response at any time.

In the meantime, should you have any queries please do not hesitate to contact me. My personal contact number is __________

Yours sincerely,
__________
Managing Director