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Using complaints handling insight to enhance conduct risk assessment

Author

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  • Afzal, Sheraz

Abstract

Complaints handling provides significant insight into the drivers of conduct risk. From a high level, the method by which complaints are handled in the round is an important cultural indicator of the value a firm places on a customer. Individual complaints are of high informational value in and of themselves, and can be joined to other data points to create powerful insight.

Suggested Citation

  • Afzal, Sheraz, 2018. "Using complaints handling insight to enhance conduct risk assessment," Journal of Financial Compliance, Henry Stewart Publications, vol. 1(4), pages 294-300, May.
    • Handle: RePEc:aza:jfc000:y:2018:v:1:i:4:p:294-300
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    More about this item

    Keywords

    conduct risk; complaints; culture; root cause analysis;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

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