Policy redlining against sources

When a regulator changes the rules, see which clauses of your policies it may affect, what the source says, and example wording, ready for your team to review and approve.

Complaints Handling PolicyVersion 3.1 · 12 clauses

Monitoring

NEWExample regulatory update: complaint response timesjust now

4.1 Acknowledgement

We acknowledge each complaint within one business day.

4.2 Response times

We give a written response within 45 days of receiving the complaint.

“A firm must provide a written response within 30 calendar days…”✓ Quote matches the source

4.3 Escalation

Unresolved complaints are referred to the Head of Compliance.

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1 of 12 clauses may be affected

✓ Every word checked against the source

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