IA- Investment Adviser Customer Complaint Log

The Customer Complaint Log serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and/or applicable state requirements.  The Customer Complaint Log allows Investment adviser firms to maintain a system for recording, tracking and processing customer complaints involving investments, investment accounts, and/or financial professionals, including problems involving: (i) order handling, trade execution, or confirmations; (ii) delivery of funds or securities; (iii) fees, commissions, or mark-ups; (iv) inaccurate or misleading disclosures; (v) suitability, or excessive trading or other account abuses; and (vi) opening, transferring, or closing an account.

Version/Update: V.2/September 27, 2018

Total Page Count: 1

Source/Author(s): Connexien