Dispute Resolution - Managing Customer Complaints & Regulatory Inquiries

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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