Compliance

A training resource for Teams and Leads

Content Outline

CT Competitor Protocol

  • If a query involves your competitor, discreetly step aside and allow a different Compliance Team member to receive the query. 
  • If another Compliance Team member receives a query about your competitor, the Compliance Lead will notify you and provide general information. It is appropriate to identify the event that the query is about, but not to identify the specific question or issue.
  • If discussion is needed between CT and/or CL, the CT and/or CL should leave the room, not the Compliance Team member who has the competitor involved in the query.
  • The CT with the competitor involved in the CQR should avoid viewing the CQR as this would be a conflict of interest. 
  • If the CQR does not result in a family meeting, the Compliance Lead will notify you that the matter is closed with no further action (NFA).