Maestro-Solutions for

Customer Complaints

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Regulators require tight customer complaint controls: Recording/investigating/resolving

Managing, resolving and reporting complaints are a regulatory hot topic, not least because the level of complaints can flag other regulatory failures such as: miss-selling, poor internal controls and employee misconduct, amongst others.

Effectively managing complaints is essential to regain customer confidence and identifying the route cause can help prevent future complaints by addressing the problem at source.

Most Regulators consider protecting retail investors to be a primary objective so there are detailed requirements in this area.

GRC-Maestro supports your complaint management and reporting with:

  • Maestro-Templates: based on your specific complaint management requirements for different regulatory jurisdictions
  • Schedules: periodically sending Maestro-Forms to designated control staff to record complaint levels (new/resolved/in-progress)
  • Incidents: evaluate complaints with automatic and manual incident creation, reporting and resolution

GRC-Maestro evidences to your clients and regulators that your business operates an effective complaint management management environment.

Resources

Regulatory Jurisdictions

Customer Complaints

Regulators set requirements to ensure customer/client complaints are…