MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
Receiving a customer complaint can be harmful to your firm’s reputation, but failure to properly handle complaints can result in much bigger problems. Regulators, including the SEC, FINRA, MSRB, exchanges and state securities administrators all have their own requirements related to the recording and reporting of complaints.
To help address this sensitive matter, the course, “Customer Complaints and Dispute Resolution,” kicks off with an overview of the various regulatory requirements surrounding customer complaints and includes an example of a broker-dealer that falsely reported complaints and damages to FINRA, resulting in a hefty fine. Additionally, the course outlines and breaks down the arbitration and mediation processes.
Course Topics Include:
- Customer Complaints
- What is/What is Not a Complaint?
- Supervisory Requirements
- Recordkeeping Requirements
- Reporting Requirements
- FINRA BrokerCheck Disclosure Requirements
- RIA Requirements
- FINRA Investor Compliant Program
- Dispute Resolution
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail firstname.lastname@example.org. To view Quest CE’s Firm Element course catalog, click here.
About Quest CE
For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.
Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.