2f. ALL – LAB – Handling Customer Complaints: It’s Every Firm’s Problem


Customer complaints are a part of doing business, it is almost inevitable that a complaint will arise. It is critical that your firm have processes in place to handle customer complaints in a timely and in accordance with regulatory reporting requirements. A firm that fails to promptly address a client complaint could face serious reputational/legal/compliance ramifications.
Learning Objectives:
• Understand what is or isn’t a customer compliant and how to define them, including some specific examples (i.e. handling verbal complaints vs. written complaints)
• Discuss the policies and procedures that should be implemented to handle complaints properly and effectively, including training
• Meet the expectations of the regulators, including books and records requirements, and disclosure updates
• Learn how to prevent/remedy further complaints

Intermediate                        Program Level: Lab Date: November 8, 2021 Time: 11:30 am - 12:45 pm

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