The Model Code recommends that, in the case or complaints about transactions, management should:

Question

Options

• AEnsure complaints are investigated by the senior management or a firm not involved in the disputed transaction.
• BEnsure complaints are rairly and independently investigated, in the first instance, by the ACIs Committee
• CEnsure complaints are investigated by representatives of a broking firm not directly involved in the disputed
• DEnsure complaints are fairly and independently investigated, whenever practicable, by staff not directly

• A
  9% (5)
• B
  16% (9)
• C
  3% (2)
• D
  72% (42)

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