The firm should keep the following records for a minimum of three years from the date of the receipt of the complaint:
1. the name of the complainant;
2. the substance of the complaint;
3. the measures taken to resolve the complaint; and
4. any correspondence between the firm and the complainant, including details of any redress offered.
In addition, firms need regularly to report information regarding complaints to the FCA. More information regarding this can be found in Section 4: Regulatory Processes, Chapter 2: Supervision (SUP).
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