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
CRC-Oyster: Compliance Risk Concepts / Oyster Consulting
