Teaming up with... AVIVA

Welcome to the UKGI weekly regulation update service for Aviva ABC brokers

We hope you find the Updates useful. If you are
interested in subscribing to our affordable
ABC compliance support package, please
email us at ABC@ukgigroup.com or
call UKGI on our dedicated ABC
contact line 01925 767893.

FCA updates its Reporting Complaints web page and publishes a data-capture flow diagram for the new complaints reporting

Link(s):  Reporting complaints | FCA

Complaints reporting: data capture flow diagram

Context

The FCA has updated its Reporting complaints web page, and has published a data-capture flow diagram for the new complaints reporting return, COM001.

Key points to note and next actions

  • The web page has had a section added to outline resources to understand the new return.
  • The FCA has published Data Reference Guides for COM001, which include the XML specifications and details of validation rules.  Firms can find these guides on the FCA’s RegData resources page.
  • To help you understand which questions to complete and how the return captures information, the FCA has also published a data flow diagram (PDF).
  • Once COM001 is ready, you’ll be able to access it in the FCA’s RegData industry test environment.  To register for the test environment, email RegDataTest@fca.org.uk.