Your firm has not established procedures that define how cases originally categorized as customer support requests are uniformly entered by employees into your firm’s electronic [redacted] system and uniformly evaluated to ensure the information will be accurately processed into the [redacted], if the support request case is subsequently determined to constitute a complaint for which an investigation may be necessary. For example, during the inspection, your firm’s Director of Quality Assurance and Regulatory Affairs explained that your firm had been unable to determine how to convert a customer support request into a customer complaint in the [redacted] system.
View the original warning letter.