Capture, track, investigate, and resolve customer complaints within a structured workflow that meets FCA, Ofcom, and client-specific regulatory requirements.
Regulatory bodies including the FCA and the Financial Ombudsman Service require firms to log, acknowledge, investigate, and resolve complaints within strict timeframes. Contact centres handling financial services, utilities, or telecoms calls must demonstrate a robust complaints process with full audit trails. When complaints are tracked in spreadsheets or generic ticketing systems, deadlines are missed, root causes go unanalysed, and the organisation is exposed to regulatory action.
FCA rules require acknowledgement within set timeframes and final response within eight weeks — spreadsheets cannot enforce this.
Without structured taxonomy, complaints are categorised differently by different agents, undermining root-cause analysis.
Regulators and clients expect a complete record of every action taken on a complaint — difficult to produce from email threads.
Purpose-built capabilities — not generic templates you have to work around.
Pre-built workflow stages — logging, acknowledgement, investigation, resolution, and closure — aligned with FCA complaint handling rules.
Automatic SLA timers count down to acknowledgement and final response deadlines, with escalation on approaching breach.
Enforce consistent categorisation using configurable complaint types, root causes, and product/service codes.
Aggregate complaint data by category, product, team, and time period to identify systemic issues and trends.
Generate acknowledgement letters, holding responses, and final response letters from templates with merge fields.
The agent captures the complaint using a structured form with mandatory fields for category, product, and customer impact.
An automated acknowledgement letter is generated and sent to the customer within the regulatory timeframe.
The complaint is assigned to an investigator who reviews interaction recordings, case notes, and system data.
The investigator records the outcome, any redress offered, and generates the final response letter for customer sign-off.
The complaint is closed with a root-cause code and fed into trend reporting for continuous improvement.
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The workflow is designed to align with DISP rules, including logging, acknowledgement within required timeframes, eight-week resolution targets, and final response letter generation. Your compliance team configures the specific policies.
SwiftCase can generate the data extracts required for FOS reporting. The structured taxonomy ensures complaint categories map to FOS reporting codes.
Each client can have its own complaint workflow, taxonomy, SLA targets, and letter templates, all managed within the same SwiftCase instance with strict data segregation.
Yes. You can enable automated status updates via email or SMS, and optionally provide a self-service portal for real-time complaint tracking.
See how SwiftCase automates regulatory-compliant complaint handling. Book a contact centre demo.
