Market conduct & complaints
Market conduct and complaint management
Strengthen consumer protection and market integrity with a structured, intelligence-led approach to conduct oversight and complaint handling.
Capabilities
What the module delivers
Complaint intake channels
Capture complaints through portal, email or officer entry with consistent data capture.
Triage and categorisation
Classify by product, conduct theme, severity and responsible entity using configured rules.
Entity referral and response
Refer matters to the regulated entity and record responses, timelines and outcomes.
Thematic and root-cause analysis
Group related complaints to identify systemic conduct issues and market-wide themes.
Conduct indicators
Feed complaint volumes, themes and resolution performance into supervisory risk indicators.
Consumer outcome tracking
Track redress, remediation and closure with the supporting evidence retained.
Outcomes
Evidence-based conduct supervision that reduces harm
- Systemic issues become visible earlier through clustering and thematic analysis.
- Complaint handling performance is measurable per entity and sector.
- Conduct intelligence informs inspection scope and supervisory priorities.
- Complainant data is protected under permission and retention controls.
- Every referral, response and outcome is fully traceable.
Governed by design
Complainant and consumer data is held under field-level permissions with logged access and defined retention. Where AI assists this module, it is advisory only — every insight shows its source data, rationale and confidence, and final regulatory decisions remain with authorised human officers.