Complaint Unit, Compliance Officers, et al.

October 16, 1996SEC-IRD * MEMORANDUM CIRCULAR NO. 04-96TO : All Pre-Need Plan IssuersRE : Complaint Unit, Compliance Officers, et al.In order to facilitate the delivery of services to plan holders and to promote cooperation and closer coordination between the SEC and the pre-need companies in expeditiously acting on complaints filed, all pre-need plan companies are required: cdll1. To constitute a complaints action unit in their respective offices which shall have telephone hotlines to the company listed in the telephone directory to handle complaints and answer the concerns of plan holders. A list of the designated compliance officers and telephone hotlines shall be furnished the SEC within five (5) days from actual receipt of this Circular.2. To designate a compliance officer to act as a liaison officer between the pre-need company and the SEC who shall be available to the pre-need staff for referral of SEC requirements for registration/licensing and for compliance with other SEC requirements.3. For memorial/life plan companies, to submit a list of their accredited mortuaries, their telephone numbers and the contact person, the...