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UID:a4e1f76329f755f356d2c1eaedb208d5@eimf.eu
SUMMARY:EIMF | Why learn about complaint handling if you don’t handle com
 plaints\, or even if you do?
DESCRIPTION:This webinar aims to offer a fun presentation and discussion on
  the relevance of complaint handling training for those working in complian
 ce and other parts of firms.  Presentation Objectives- Explain why the te
 chniques and knowledge involved in good complaint handling extends far beyo
 nd this subject.- Show how compliance and other parts of the business canno
 t afford not to know about complaint handling - more generally - within its
  own business.- Demonstrate that complaint handling like compliance can be 
 fun! Presentation Outline1. Why learn about complaint handling?- Crucial p
 art of compliance with MiFID Org Regulation and ESMA/EBA/EIOPA guidelines- 
 Increased resource at CYSEC and perhaps at the Ombudsman – leading to enf
 orcement and compensation awards?- Early warning system about trouble – t
 hrough customers communicating and root cause analysis- Techniques of compl
 aint handling appear in other parts of compliance: monitoring and advising 
 on compliance issues- One of the best ways of learning the customer-facing 
 parts of the rulebook 2. There may be trouble ahead- Enforcement pressures
  from ESMA and other regulators in Cyprus\, the EU and elsewhere- The early
  warning function of complaints – appropriateness and advice issues- The 
 need to consider customers in product design and execution 3. How the tech
 niques of complaint handling make you better at compliance generally- Some 
 basics – the role of compliance to advise\, monitor\, report to the Board
  and handle crises- Advance disclosure of how to complain – just an exten
 sion of financial promotions checking and inviting the business to ask comp
 liance’s advice- Identification of complaints – its relevant to the tec
 hniques of monitoring- Conducting investigations – sister activity to mon
 itoring- Making decisions – learning the relevant rules from MiFID and el
 sewhere – appropriateness testing\, advice\, financial promotions- Final 
 responses – how to advise the business and report to senior management- R
 oot cause analysis – learning from issues discovered during monitoring S
 peaker Adam Samuel | EIMF Course Leader and Compliance Consultant 		\n		h
 ttps://youtu.be/E6bCP7k3MDU
LOCATION:Online
DTSTAMP:20260821T065233Z
DTSTART:20240125T140000Z
DTEND:20260821T140000Z
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