Global Complaint Handling Across Jurisdictions Training

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Additional languages available
Meets accessibility standards
Auto-save training, mobile-friendly
Deliver on Ethena or your LMS (SCORM)

Course Summary

Complaints are a fact of financial services life, and how firms handle them shapes trust and regulatory standing. This Ethena course shows staff how to recognise, manage, and resolve complaints fairly across North American, EU, and Asia Pacific rules.

What actually counts as a complaint
Handling complaints fairly and effectively
Protecting vulnerable customers throughout
Regional legal frameworks compared

Included Modules:

What Is Complaint Handling?

Introduces complaint handling as a regulated process for receiving, assessing, and resolving customer dissatisfaction fairly, and explains why firms must take it seriously.

What Counts as a Complaint?

Explains how to identify a complaint, distinguishing genuine expressions of dissatisfaction that trigger formal obligations from routine queries or feedback.

How to Handle Complaints Effectively

Covers the practical steps for managing complaints well, from acknowledging and investigating fairly to keeping records and communicating clearly with the customer throughout.

Your Obligations Around Vulnerable Customers

Explains how to recognise vulnerable customers and adapt your handling to ensure they receive fair, accessible support and outcomes when they raise a complaint.

How to Bring Complaints to a Resolution

Shows how to reach fair outcomes, communicate final responses, offer appropriate redress, and explain escalation rights such as referral to an ombudsman service.

North American Legal Framework

Outlines complaint handling expectations in North America, including the US CFPB regime and FINRA rules alongside Canadian regulator and ombudsman requirements for firms.

EU Legal Framework

Outlines EU complaint handling expectations under ESMA and EBA guidelines and MiFID II, requiring fair treatment, clear procedures, and proper recording of complaints.

APAC Legal Framework

Outlines complaint handling rules across Asia Pacific, including Australia’s ASIC RG 271, Singapore’s MAS guidelines, and Hong Kong’s SFC expectations for firms.

Applying Complaint Handling Principles

Brings the course together with realistic scenarios that help staff apply complaint handling principles consistently and confidently across different jurisdictions.

Why is this training important for workplaces?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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