General Information

FCSA provides this mechanism for people (including employees, clients and other members) to lodge a formal grievance or complaint where they reasonably believe that an FCSA Member has breached FCSA’s Charter or Compliance Codes. FCSA investigates all properly submitted complaints and will inform the complainant whether the complaint, in whole or part, is upheld or rejected. We aim to complete this within eight weeks of receiving a complaint.Where complaints are upheld, FCSA will ensure that appropriate and commensurate disciplinary and corrective action is taken to rectify the issue and to help prevent recurrence.

FCSA won’t consider complaints where

• The issue is not covered within FCSA’s Charter or Codes of Compliance
• This issue does not involve an FCSA Member
• The issue is currently, or has been, the subject of legal action or legal action is commenced during the course of FCSA’s consideration of the complaint
• The issue is currently being, or has in the past been, considered by a regulatory or professional body (e.g. ICAEW or ACCA) or a recognised issue resolution scheme (e.g. ACAS)
• The complainant has not first attempted to resolve the issue directly with the FCSA Member concerned.
  • This should include both informal and formal routes
  • The complainant must have exhausted the Member’s formal grievance/complaints process
• The issue is considered frivolous or vexatious
• The issue is of a legal or contractual nature, as these may need to be resolved through the Courts
• The issue is of a commercial nature or driven by competition
• The complaint has been submitted outside the required time (after 3 months of the date of the occurrence).

GDPR and Record Keeping

All information received will be handled sensitively, and in line with data regulations and FCSA’s Privacy Policy. Complaint records will be held for a minimum of three years from initial notification.

How to make a complaint

Complaints that an FCSA Member has breached the FCSA Charter or Compliance Code can be raised by a client, employee or a third party.

All complaints

1. Must be submitted only via the online complaints form on the FCSA website
2. Must identify the FCSA Member concerned in the complaint
3. Must include evidence that the complainant has fully exhausted the Members own complaint/grievance process
4. Must identify and evidence which paragraph(s) of FCSA’s Charter or Compliance Code(s) have been breached and how
5. Must be underpinned by supporting evidence provided at the outset
   1. Further details may be requested from the complainant to enable the complaint to be properly considered

When we receive a complaint

FCSA will record the complaint and acknowledge receipt within three working days.

Informal Resolution

1. In the first instance, the FCSA Chief Executive shall use reasonable endeavors to resolve the complaint informally.
2. The Chief Executive may request information from
   1. the complainant
   2. the FCSA Member about whom the complaint has been made
   3. any relevant third party.
   4. in each case the respondent will be given fifteen working days to respond to this request.
3. Following investigation and a conciliation process, the Chief Executive shall reach a conclusion and inform all involved parties of the outcome and any resulting action required.
4. The complaint shall be considered closed if both parties agree in writing and/or by email to the informal resolution
5. Where the complaint is resolved informally, FCSA shall write or email to the complainant and the Member about whom the complaint was made to confirm the agreed resolution

Formal Resolution

If an informal resolution cannot be reached, then both parties will be informed that the matter is now under formal investigation as the inital responses have not resolved the matter.

1. The Member undertakes to fully cooperate and assist with the investigation
2. Any costs incurred in a formal investigation (e.g., analysis or testing to be undertaken by an FCSA assessor) will be borne by the Member that is the subject of the complaint
3. All involved parties will be informed in writing and/or by emailof the outcome of the complaint and any disciplinary action required
4. The complaint shall be considered closed if both parties agree in writing and/or by email to the formal resolution

When a complaint is upheld

When FCSA upholds all or part of a complaint, it will take appropriate action. This might include, but is not limited to;

1. FCSA requiring that the Member undertakes remedial action
2. FCSA requiring that the Member makes appropriate compensation to the complainant
3. A warning in writing and/or by emailto the Member that further breaches may result in further disciplinary action
4. Imposition of a financial penalty on the Member, to be paid to FCSA
5. Suspension of FCSA membership for a specific period or until remedial action is taken to the reasonable satisfaction of the Chief Executive.
6. Termination of FCSA membership