Accounting, Legal and Infrastructure
Client Protection and Conduct
Mis-selling cases, complaint handling and dispute resolution, and conduct risk.
Introductory1 pagePractitioner2 pages
1Client Protection
- IntroductoryMis-Selling CasesThe three cases differ in product, issue, and outcome.
- PractitionerComplaints and Dispute Resolution (FINMAC)A client can bring a consultation or complaint to FINMAC, which asks the financial institution to investigate.
- PractitionerConduct RiskConduct risk is the risk of actions that harm user protection, market fairness and transparency, or its reputation; a common understanding has not necessarily formed.