BD- Branch Office Customer Complaint Disclosure Form
BD- Branch Office Customer Complaint Disclosure Form
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The Branch Office Customer Complaint Disclosure Form is a useful document for broker-dealer branch offices to use for tracking customer complaints received at the branch office and reporting them to the main office and/or reporting OSJ branch. The Disclosure Form includes various sections for recording and disclosing customer complaints to include the status and/or resolution of each complaint and corresponding complaint problem codes or disclosure event codes for reporting purposes.
Version/Update: V.2/May 22, 2018
Total Page Count: 7
Source/Author(s): Connexien