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IA- Investment Adviser Customer Complaint Log

IA- Investment Adviser Customer Complaint Log

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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

Published by: Connexien

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