Client Complaints

by Ara Jabrayan | Aug 22, 2016 | Code of Ethics, Fiduciary Duty, Investment Adviser Code of Ethics, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance

Client complaints can negatively impact Registered Investment Advisers (RIAs) for years to come. Examiners expect an RIA to enact policies and procedures detailing how the firm will address complaints. These policies and procedures should demonstrate that the adviser takes all client complaints seriously and will attempt to resolve them.