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Vol 22 No 8 August/Sept 2017

Book of the Month

Cover of STEP: A Practical Guide to the Transfer of Trusteeships

STEP: A Practical Guide to the Transfer of Trusteeships

Edited by: Richard Williams, Arabella Murphy, Toby Graham
Price: £110.00

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This book is now Out of Print.
A new edition has been published, the details can be seen here:
Consumer Financial Services Complaints and Compensation 2nd ed isbn 9780414034044

Consumer Complaints and Compensation: A Guide for the Financial Service Market

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ISBN13: 9781898830993
ISBN: 1898830991
New Edition ISBN: 9780414034044
Published: June 2005
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Paperback
Price: Out of print



The 2008 supplement to the book can be downloaded here...

The FSA has started to take enforcement actions against firms who fail to handle complaints or to treat their customers fairly. This book will serve as an easy to use guide to the complaints sourcebook for the smaller IFA. For larger firms and their professional advisors it will act as an effective reference book enabling the reader to rapidly refresh their understanding of the rules and “best practice" procedures.

Consumer Complaints and Compensation: A Guide for the Financial Services Market will ensure that you are not caught up in the fall-out from a variety of misselling and administration issues, or if you are, that you are in a sound position to handle the consequences.

Adam Samuel is an expert in two main areas: Consumer financial services - compliance, complaint handling, pension and other business review work - and international and domestic dispute resolution law and practice. Currently he is an independent consultant providing services on complaint handling, pension review, compliance and international dispute resolution as well as acting as the Independent Investigator for the Institute of Financial Planning's Disciplinary Committee.

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Subjects:
Banking and Finance
Contents:
The rules to be applied
Sales complaints - deciding whether a firm is liable
Deciding whether the firm is liable: endowments
Deciding whether the firm is liable: pensions
Deciding whether the firm is liable: savings, investments and whole of life policies
Avoiding liability
Administration and other service complaints: deciding whether the firm is liable
Compensation - the basic principles
Compensation for mortgage endowment misselling
Compensation for pension misselling - part one
Pension compensation part two - practical applications
Compensation for administration complaints
Claims - life and general insurance
The scope of the FSA complaint rules (DISP)
The complaints procedure
Identifying complaints
Acknowledgement
Investigating complaints
The final response
Closing the case
The Financial Ombudsman Service
Disciplinary action and other dispute resolution options.