Course curriculum

    1. Complaints - Video

    2. Complaints Q&A

    3. Course Feedback

About this course

  • $175.00
  • 3 lessons
  • 0.5 hours of video content

Summary

A discussion of the regulatory requirements applicable to companies licensed under the Securities and Futures Commission (SFC) in relation to the managing of client complaints. A review of the recommended procedures for receiving, investigating, and resolving complaints in compliance with regulatory standards, along with a review of best practices in handling client complaints.

  • How to identify a client complaint.

  • The step-by-step process for receiving, recording, investigating, and resolving client complaints in line with regulatory requirements.

  • Best practices for accurate and comprehensive record-keeping, including complaint resolutions and any actions taken.

Design: Melody Wang, Dona Samaranayake
Content: Stanley Nnam, Alex Esson