For everyone in the finance sector, regulator investigations and EDR scheme complaints are part of doing business.
To manage these successful, you require:
- A knowledge of the legal authority involved
- Documented policies & procedures
- Complaints analysis – systemic & individual
- Legal advice
- Management strategies
- Complaint record-keeping
We are no strangers to ASIC or the EDR schemes, having assisted clients manage ASIC licensing requirements or investigations and with EDR scheme complaints. We understand their requirements, processes and outcomes expected.
With that experience, we can assist you to manage regulator investigations or EDR Scheme complaints well through our:
- Legal and compliance advice
- Remediation strategy guidance
- Board & senior management briefings
- Complaint & compliance gap analyses
- Regulator/EDR Scheme management
- IDR and EDR policies and procedures