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Consumer Protection Compliance

Review how your business handles complaints, disclosures, and customer treatment.

Request a Compliance Review

    About Consumer Protection Compliance

    Consumer protection isn’t handled by one team. It runs through marketing, sales, onboarding, customer service, collections and complaints.

    That’s where things can go wrong. A fee may appear in the terms but not in the sales message. Staff may be using an old process. Complaints may be closed on time without anyone asking why they keep happening.

    Vertex Compliance looks at these issues across the customer journey. We read the policies, check the supporting records and speak with the people doing the work. This gives us a more honest picture of what’s happening.

    At the end, you’ll know where the weak points are, which ones matter most and what can be done about them.

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    Our Approach

    The process has four stages, although the amount of work involved will vary from one business to another.

    1
    Show Us How Customers Buy From You

    We start with the basics: what you sell, how you explain it and what a customer sees before they agree to buy. We also ask what happens if they have a question or want to complain. That tells us where to focus the review.

    2
    Check What Happens Along the Way

    We read the information you give customers and look at a sample of complaints and other records. If something on paper does not tell the full story, we ask the staff who handle it. We want to see how the process works on an ordinary day.

    3
    Talk About What We Found

    We’ll show you where a customer could get confused, receive different answers or wait too long for help. We explain what led us to each finding and listen to your team’s side of it. Together, we work out which problems need attention first.

    4
    Decide What to Change

    You’ll get a report you can work from, with the findings and suggested fixes. Some changes may be as simple as rewriting a notice; others may involve how complaints are handled. We’ll discuss what your team can do and where you’d like our help.

    Who Is Consumer Protection Compliance Service For?

    Banks and Financial Institutions
    Exchange Houses and Money Service Businesses
    Finance Companies
    Payment Service Providers

    Ideal for financial businesses that want a closer look at how their customers are treated.

    Why Choose Vertex Compliance?

    Review the Customer Journey

    What a customer reads on your website may differ from what they hear during a sale. If they need help later, they may get another answer. We follow those steps from the customer’s point of view to find where the information gets confusing.

    Check Complaint Handling

    A complaints policy might promise a quick reply. We look at complaint records to see how long customers actually waited, who handled their cases and whether they got an answer. That shows us where a complaint gets stuck, rather than relying on what the policy says.

    Prioritise the Gaps

    Some problems need a quick fix. Others take more time because they involve several teams. We explain what we found and how customers could be affected, then talk through what to tackle first. You’ll know why each issue is on the list.

    Put Changes in Place

    The review does not have to end with a report. If you need help making changes, we can work with your team on customer notices, complaint steps or staff instructions. We agree on what needs doing and where Vertex can be useful.

    Meet the Experts

    Sarah Khan
    Vasantha Madan Mohan

    Managing Director

    Sarah Khan
    Sridhar Rajam

    Associate Partner

    Sarah Khan
    Arjun Mohan

    Director – Sales & Marketing

    Frequently Asked Questions

    No. Reading policies is useful, but it doesn’t tell the whole story. We also check records and talk to employees where needed.
    We may ask for policies, product information, fee schedules, customer notices, complaint records and training material. The document list will reflect the work being carried out.
    You’ll receive the findings in writing, along with suggested next steps. The more important matters will be identified so your team knows where to begin.
    Much of the work can usually be done through document sharing and online discussions. An on-site visit may be suggested if it would help us understand a process properly.
    Yes. We can help revise documents, improve complaint procedures, clarify responsibilities and work through other actions arising from the review.
    That depends on the agreed scope. We may ask for rule details, current thresholds, transaction information, customer categories, alert histories, closure reasons, escalations and previous tuning records. We will agree on the required information before the work begins. If some data is unavailable or unreliable, we will explain how that affects the review.