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Violation Reporting

How to report policy violations and the Compliance Contention Report process.

Who Can Report​

Anyone can submit a violation report:

  • IA — Email compliance@corsairconnect.com
  • Customer — Support ticket or email
  • Public — Website contact form or email
  • Field Compliance Reviewer — Dedicated reporting portal

Anonymous vs Identified Reports​

  • Identified — Your name and contact provided (recommended, allows follow-up)
  • Anonymous — No reporter identification (permitted, but report must still be specific)

Important: Anonymous reports are permitted, but the report content must still be specific, identifiable (who violated), and provable.

Report Requirements (P&P 4.4)​

Per Policies and Procedures Section 4.4, violation reports must include:

Required Elements​

  • Dates — When did the violation occur?
  • Number of occurrences — How many times?
  • Persons involved — Who committed the violation?
  • Supporting documentation — Evidence of the violation

What Makes a Valid Report​

Valid examples:

  • "IA John Smith (ID #12345) posted income claims on Facebook on January 15, 2025. Screenshot attached showing the post."
  • "Mary Jones is calling people from a purchased list. I have recorded 3 calls she made to me on Jan 5, 8, and 12."
  • "Attached is a flyer found at XYZ event on Jan 20 with unauthorized claims about CSR values."

Invalid examples:

  • "Someone is making bad claims on social media."
  • "I heard that someone is telemarketing."
  • "People are handing out flyers somewhere."

Evidence Types​

Strong Evidence:

  • Screenshots with dates
  • Recorded calls (where legal)
  • Email copies with headers
  • Physical materials (flyers, etc.)
  • URLs and archived pages
  • Photos with timestamps

Weak Evidence:

  • "I saw something"
  • "Someone told me"
  • Vague descriptions
  • Hearsay
  • Unverifiable claims
  • Rumors

Submitting a Report​

Step 1: Gather Evidence​

Before reporting:

  • Capture screenshots (include dates/timestamps)
  • Save URLs (use archive.org if concerned about removal)
  • Document dates and times
  • Identify the IA involved (name, ID if known)
  • Compile all supporting documentation

Step 2: Write the Report​

Include:

  1. What happened - Clear description of the violation
  2. Who - Name and/or ID of the IA
  3. When - Dates and times
  4. Where - Location (URL, platform, physical location)
  5. Evidence - Attach documentation
  6. Your contact (unless anonymous)

Step 3: Submit​

Email: compliance@corsairconnect.com

Subject line: Compliance Report - [Brief Description]

Attachments: All supporting documentation

Step 4: Receive Acknowledgment​

  • Within 48 hours — Acknowledgment of receipt
  • Within 30 days — Investigation outcome (if reporter is identified)

Confidentiality (P&P 4.4)​

"All reports received by corporate will remain anonymous until such time as the IA who made the report authorizes the Company to disclose his/her identity or the Company is compelled to do so by subpoena, court order, or arbitrator's instruction."

What This Means​

  • Compliance Team — Full report + reporter identity
  • Investigated IA — Allegation only (not reporter identity)
  • Public — Nothing (unless legal proceedings)

When Identity May Be Disclosed​

  • Reporter authorizes disclosure
  • Subpoena
  • Court order
  • Arbitrator's instruction

After You Report​

What Happens Next​

Investigation Timeline​

  • Acknowledgment — 48 hours
  • Initial review — 5 business days
  • Full investigation — 30 days
  • Complex cases — May extend with notice

Outcome Notification​

If you provided your contact information:

  • You will be notified of the outcome
  • Details may be limited to protect privacy
  • You will NOT be told specific sanctions imposed

Special Categories​

Spamming Complaints (P&P 3.3)​

If an IA signed up someone without consent:

  1. Document the complaint with email headers/evidence
  2. Identify the Partner who sent the communication
  3. Submit report referencing Terms (Partner) Section 3.3

Policy reminder:

"You must use email and communication tools appropriately. The act of sending unsolicited commercial emails or other communication is forbidden, and the Company does not permit the use of spamming."

Income Claim Violations​

Income claims require special documentation:

  • Exact quote of the claim
  • Where it was made (URL, platform)
  • Screenshot with date
  • Context of the claim

Unauthorized Websites​

For unauthorized websites:

  • Full URL
  • Screenshots of key pages
  • Date accessed
  • Whois information if available
  • Content that violates policy

Retaliation Protection​

The Company does not tolerate retaliation against good-faith reporters.

If you believe you are experiencing retaliation:

  1. Document the retaliatory actions
  2. Report to compliance@corsairconnect.com
  3. Reference your original report

Retaliation may result in disciplinary action against the retaliating party.

False Reports​

Submitting knowingly false reports is itself a violation of the Agreement.

  • False report — May result in disciplinary sanctions
  • Repeated false reports — May result in termination
  • Malicious reports — May result in legal action

Contact​

Submit violation reports:

Questions about reporting: