Manage a complaint record
Use the Complaints Register to record a complaint, its classification, resolution details, supporting documents and follow-up.
Who can make changes
Users with Full Access or Compliance Manager can create and maintain complaint records, change their status and add comments. Adviser users without either management role can open the register but do not have those maintenance controls. Email adviser requires the Compliance Manager role.
Create a complaint
Select Complaints Register from the left menu, then Add Complaint. The form has three sections. Use Next and Back to move between them.
Complaint details: check the proposed Complaint unique ID, enter Complaint name, answer Is the complaint about an authorised rep?, add a client where relevant and confirm Adviser.
Classification: complete the available product and complainant fields. Choose Complaint status, record the Complaint channel and enter Date received.
Resolution & documents: add Date closed where applicable, Compensation amount, one or more Complaint outcomes, and files under Complaint report & supporting documents.
For an existing client, type at least two characters and select the correct search result. Use Create new client only when a new client profile is needed. A selected client can set the adviser automatically.
Check all details and click Create. The adviser needs a complete practice assignment and a compliance-manager email address. Register files can be PDF, DOC, DOCX, JPG, JPEG or PNG, up to 50 MB each.
Check the saved record
The creation workflow generates a complaint PDF for the supporting documents and attempts to notify the compliance manager. Read the result message. If the complaint was created but the notification failed, open the existing record before retrying the workflow.
Use search and All statuses to find a complaint. Management users can also filter by practice and adviser. Open View details to review the record, Documents and Comments.
Record progress and resolution
Choose Edit from the list to update complaint details, outcomes, dates or files, then click Save changes.
To change only the status, select Open or Closed under Complaint status in the details screen and click Save status. Check Date closed separately where needed.
Add further files through Add supporting documents and Upload documents.
Use Add comment to record a follow-up update.
Compliance Managers can use Email adviser beside Comments. Check recipients, subject, body and selected attachments before clicking Send email, then review the result. Follow your licensee’s complaint-handling process for deadlines, decisions and communications outside the register.