1.5 Compliance Record Maintenance Policy


    Maintaining the integrity of the Compliance Program, records will be kept in a secure, protected manner.


    The Compliance Officer will establish a working file for all alleged complaints, this file will contain documentation of actions taken to investigate and resolve the issue. These files will be in a secure filing cabinet under control of the Compliance Officer. These files will be managed in a manner to prevent the erroneous disclosure of information.


    A working file will be established for each alleged complaint to contain:

    • Date of alleged complaint
    • Investigative process, person(s) involved
    • Any evidence obtained, witness, documentation
    • Corrective measures taken
    • Date case was closed

    Revised 11/2012

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