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Complaints Management Software

Complaints Management Software

Raise, investigate and manage complaints

The Financial Conduct Authority (FCA) and equivalent regulatory authorities in other jurisdictions require financial institutions to have effective systems and processes in place to manage customer complaints and resolve disputes arising from their operational activities. All firms are required to maintain detailed records of all complaints received and report details to regulatory authorities.


Solution Features

The Ruleguard Complaints Handling solution manages complaints handling requirements efficiently and easily with our dedicated workflow and lifecycle features.  This includes the ability to:

  • Capture and process unique details of each complaint using our fully configurable reporting templates and data fields

  • Support user-defined reporting, tracking, investigation, escalation, and remediation protocols

  • Easily identify FOS & FCA issues to facilitate investigations and timely regulatory reporting

  • Classify complaints to facilitate root cause analysis and tag complaints to impacted regulations

  • Prompts and validates rules to ensure compliance with appropriate regulatory reporting deadlines

  • Produce detailed MI to simplify process of audit, and provide insights about the root causes of your complaints and how efficiently they are being processed

Store all data in one

place in a single

complaints repository

Make the process of managing complaints straightforward and robust

Reduce time spent on managing complaints

Make complaints

resolution transparent

and simple

Improve governance and oversight of key

complaints process


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