Saturday, October 28, 2017

Complaint Handling and Best Interests

A robust investor complaint handling process is integral to treating investors honestly, fairly and in good faith. It is a key component of investor protection.Under a Best interests (BI) advice regime, prevailing methods, based on an adversarial relationship, aren't up to the job. This article relates our vision of a complaint handling process working in a BI environment. Read article here Existing complaint handling regalations and rules would need to change where a BI standard is in place.

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