Laws & Regulations第 19 / 100 题
A client sends an unsolicited written complaint to an agent alleging unauthorized trading. The agent should:
a.Promptly forward the complaint to a designated supervisor or compliance for handling and recordkeeping
b.Destroy the letter to avoid escalation
c.Personally settle with the client using firm funds without notice
d.Ignore it unless the client repeats the complaint in writing three times
解析
Written customer complaints must be promptly forwarded to the firm's designated supervisor or compliance for review and recordkeeping. Agents may not conceal, destroy, or unilaterally settle complaints. Proper handling protects both the client and the firm's compliance obligations.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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