SRO sets out "technology-neutral" stance to record retention
New report says expungements are being granted "as a matter of course"
Complaints were 19% above average levels for the past eight quarters
Major reforms to the dispute resolution service’s mandate require action from regulators
How you and your team respond to complaints can determine whether clients feel that they're getting the attention they deserve. A 10-step checklist can ensure client issues are resolved to satisfaction
Review will take a closer look at disputes handled by the banks internally and complaints escalated to OBSI and ADRBO
Advisors and their clients need the tools and resources to close the dangerous communication gap that exists between them
There was a modest increase in investment industry complaints
The dispute resolution service aims to reduce the time it takes to resolve investment and banking complaints
Giving OBSI the power to impose investor compensation decisions would empower retail investors to reject “low-ball” settlement offers