Dispute Resolution - Managing Customer Complaints & Regulatory Inquiries

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - November 30, 2023 13:00 - 47 minutes - 33 MB - ★★★★★ - 7 ratings
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A necessary part of any financial services firm’s business is handling disputes that arise. Whether it's a complaint from a customer, litigation, regulatory inquiries and investigations, firms need to have a well-thought-out process for handling these disputes. In today’s podcast, Oyster Consulting experts Ed Wegener, Evan Rosser and John Ivan discuss

· how to approach the dispute review

· how to work with and manage interactions with key stakeholders

· managing the information gathering process

· factors to consider when determining whether a complaint has merit

· keys to an effective investigation

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