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Document consumer complaints.


CONTROL ID
13903
CONTROL TYPE
Business Processes
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS




This Control directly supports the implied Control(s):
  • Establish, implement, and maintain a consumer complaint management program., CC ID: 04570

There are no implementation support Controls.


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH




  • Service complaints shall be recorded, managed to closure and reported. Where a service complaint is not resolved through the normal channels, a method of escalation shall be provided. (§ 8.3.2 ¶ 5, ISO/IEC 20000-1:2018, Information technology — Service management —Part 1: Service management system requirements, Third Edition)
  • As to each associated person of each written customer complaint received by the member, broker or dealer concerning that associated person. The record must include the complainant's name, address, and account number; the date the complaint was received; the name of any other associated person identi… (§ 240.17a-3 (a)(18)(i), 17 CFR Part 240.17a-3 - Records to be made by certain exchange members, brokers and dealers)