Client Complaint – Log

$50.00

This sample document is a log to record client complaints.

Category:

Description

This sample document is a log to record client complaints.

RIA Compliance Consultants recommends that an investment adviser firm consult with its compliance professional and legal counsel when it receives a client complaint.

This sample form should be considered as a starting point; the investment adviser firm will need to customize this sample form to its business model and policies and procedures.

This sample document  is delivered via the purchaser’s online subscription account with RIA Compliance Consultants.  If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to be completed before our systems can deliver the sample document.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

You may also like…