Module 4 of 4 in Scams, myths and investor protection
Complaints, grievances and recovery
How investor complaints and dispute resolution work, the order of steps after a suspected fraud, and protecting your accounts afterwards.
2 lessons in this module. Progress is saved in your browser as you go.
If something goes wrong, speed and the right channel matter. This module explains how complaints against registered firms are handled and escalated, how conciliation and arbitration settle money disputes, and the first steps to take after a suspected fraud, while being honest about what recovery is realistic.
By the end of this module you should be able to
- Choose the right grievance route for a complaint against a broker, depository participant, company or adviser.
- Take the first steps after a suspected fraud in the right order and preserve evidence.
Lessons in order
Module test
10 questions, chosen at random from a bank of 31 questions and balanced across this module's learning goals and difficulty levels. Every question comes with an explanation. You need 80% to pass, and you can retake it as often as you like with a fresh set of questions.
This module builds on
- How to verify a claim and report a fraud: That lesson introduces the complaint routes; this one explains how they work and what they can achieve.
- Impersonation, phishing and account security: Many frauds start with impersonation or a stolen login; securing your accounts builds on that lesson.