Article Content
Reviewing a Complaint Disclosure Request
Overview
A Compliance Officer must review all complaint disclosures within the system. Complaint disclosures can be accepted or more information requested depending on the information within the request. The employee who created the request will be notified regardless of the outcome.
User Account Requirements
The user account used to log into Kroll's Managed Compliance Software must have Compliance Officer permission to review suspicious activity requests.
Related Information/Setup
Please refer to the Viewing a Request's Change Log History article for more information on viewing a request's change log.
Navigation
- From the Home screen, click the Sort dropdown menu in the My Task section.
Sort Dropdown Menu
- From the Sort dropdown menu, select Type to sort requests in the My Tasks section by type.
Note:
Clicking Type for a second time will sort the My Task list by type alphabetically.
Type
- Click a Complaint Disclosure request in the My Task section. Complaint disclosures are indicated by a D followed by a number, indicating the request ID (e.g., D - 19).
Complaint Request Link
- (Optional) If you know the name of the complaint request, click the Search link and enter the complaint request name in the Search field.
Alternate Navigation
- From the Home screen, click the Home dropdown menu.
Home Dropdown Menu
- Click the Compliance Team Portal link.
Compliance Team Portal Link
- From the Personal Trade screen, click the Disclosures tab.
Disclosures Tab
- From the Disclosures screen, click on a request in the Pending Review/More Information Required section.
Disclosure Request Link
Reviewing a Complaint Disclosure Request
- From the Complaint Request screen, review the information in the Complaint section.
- Date of Complaint: The date the complaint occurred.
- Complainant's Name/Firm: The complainant's name or firm name.
- Nature of Complaint: A brief description outlining the complaint.
Complaint Section
- After reviewing the Complaint section, enter any comments, instructions, or additional information in the Comments field under the Compliance Review section.
Comments Field
- Select an option to the question: Has this complaint been acknowledged promptly in accordance with Firm policy? If the user selects No, they will have to include further details.
Has this complaint been acknowledged promptly in accordance with Firm policy? Radio Button
- Select an option to the question: Has this complainant been provided with a copy of the Firm's internal complaint handing procedures? If the user selects No, they will have to include further details.
Has this Complainant been Provided with a Copy of the Firm's Internal Complaint Handing Procedures? Radio Button
- Select an option to the question: Where applicable, has information about the Financial Ombudsman Service been provided to the complainant? If the user selects No, they will have to include further details.
Where applicable, has Information about the Financial Ombudsman Service been Provided to the Complainant? Radio Button
- Select an option to the question: Has the complaint been resolved within 8 weeks from receipt? If the user selects No, they will have to include further details.
Has the Complaint been Resolved within 8 weeks from Receipt? Radio Button
- Select an option to the question: Was the complaint upheld (partial upholds should be considered upheld)? If the user selects No, they will have to include further details.
Was the Complaint Upheld (Partial Upholds Should be Considered Upheld)? Radio Button
- If applicable, enter the amount of redress paid in the If redress was paid, please provide amount below field.
If Redress was Paid, Please Provide Amount Below Field
- Enter a brief description outlining the complaint in the Please provide a summary of the assessment of the complaint below field.
Please Provide a Summary of the Assessment of the Complaint Below Field
- Select the date the complaint was closed from the Calendar pop-up under the Date complaint closed field, by clicking a Date.
Date Complaint Closed Field
- (Optional) Click the History tab to review the request's change log history.
History Tab
- Select the Request More Information button to request further information from the employee. The employee who submitted the request will get a notification requesting for more information. The employee will see any comments in the Comments field.
Request More Information Button
- Select the Complete Review button to approve the complaint disclosure request. The employee who submitted the request will get a notification. The employee will see any comments in the Comments field.
Complete Review Button