Investor Complaints: Adopting Systems to Address Regulatory Concerns
On-Demand Recording now available
Click Here to Download the Presentation Slides.
In an environment of increasing customer complaints and more stringent regulations, your organization is under growing pressure to properly identify, report and resolve each and every complaint made against your registered representatives and/or your firm. Failure to respond to complaints or allowing them to escalate into an arbitration is not an option.
In 2014, FINRA levied $134 million in fines against registered individuals and member-firms through 1,397 disciplinary actions, a myriad of which correlated to complaint initiated actions. Join us for a FREE webinar on effective ways you can improve your customer complaint process:
- Maximize internal resources
- Streamline complaint processes
- Capture all investigation findings and documents in one location
- Automate the submission of Quarterly Statistical and Event Disclosure filings to FINRA to meet Rule 4530 Reporting Requirements
Please note: Continuing Education Credit is not available for this FREE webinar.