Greenlight Exam 2 2025 – 400 Free Practice Questions to Pass the Exam

Question: 1 / 400

What must a principal do when a customer files a complaint regarding an unsuitable recommendation?

Keep a copy of the complaint for six years

Review the complaint and submit a written response to the customer

Prepare a memo describing any action taken in response to the complaint

When a customer files a complaint regarding an unsuitable recommendation, it is essential for the principal to prepare a memo describing any action taken in response to the complaint. This step is crucial because it ensures a documented record of the actions taken by the principal and supports the process of addressing the complaint effectively. The memo serves as a formal account of how the situation was handled, which can be invaluable for compliance purposes and for improving future practices.

Additionally, maintaining detailed records allows for a clear response to regulatory bodies if needed and helps in identifying trends in customer complaints, which can inform future recommendations and training for personnel. This proactive approach also demonstrates to the customer that their complaint is being taken seriously and that there is a commitment to rectifying issues.

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Promptly enter into arbitration (or mediation) with the customer

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