Policy template · version 2
Complaint Management
Capture every complaint in one register, resolve it on a clock that matches its severity, and keep the sponsor bank informed. Complaints are the component of a compliance program that catches what policies, training, and testing miss.
What’s in this policy16 sections · Complaint Management · Read the full policy
9Obligations · things you must do
16Evidence · records that prove it
2Monitoring · checks and deadlines
1Reporting · reports you must send
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Answer a few questions and each obligation is marked applies, likely, or needs more information.
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Every obligation in this policy, in one request.
What the policy requires
Log every complaint in one central register
Run the workflow
Notify the sponsor bank of regulatory criticism within 5 business days
Prepare for review
Notify the sponsor bank of an executive complaint within 2 business days
Prepare for review
Sweep public channels for complaints every week
Run the workflow
Analyze complaint trends monthly and open root cause reviews
Prepare for review
Send the sponsor bank a monthly complaint summary
Prepare for review
Review the complaints program every year
Specialist-led