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Clients
Service complaints
A real complaints procedure rather than an inbox rule, with severity, ownership and a full status log.
Regulators expect a firm to be able to show how a complaint was handled, not merely that it was resolved. That means the intake, the severity assessment, who owned it, what was said internally, what was said to the client and when the status changed all need to survive.
Running this as a record rather than a mailbox also means the uncomfortable question of how many complaints, about what and against whom has an answer the firm can look at before somebody else asks it.
Intake
- Category, severity and service type recorded when the complaint is opened
- Linked to the matter or consultation it concerns
- Raised by the client in the portal, or logged by staff on their behalf
Handling
- Threaded messages, each marked internal-only or visible to the client
- Attachments held with the complaint
- A status log recording every transition, with who made it and when