Violation Reporting

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

Who Can Report

Anyone can submit a violation report:

Reporter	How to Submit
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

Type	Description	When to Use
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

Element	Required	Description
Dates	Yes	When did the violation occur?
Number of occurrences	Yes	How many times?
Persons involved	Yes	Who committed the violation?
Supporting documentation	Yes	Evidence of the violation

What Makes a Valid Report

Valid Report	Invalid Report
"IA John Smith (ID #12345) posted income claims on Facebook on January 15, 2025. Screenshot attached showing the post."	"Someone is making bad claims on social media."
"Mary Jones is calling people from a purchased list. I have recorded 3 calls she made to me on Jan 5, 8, and 12."	"I heard that someone is telemarketing."
"Attached is a flyer found at XYZ event on Jan 20 with unauthorized claims about CSR values."	"People are handing out flyers somewhere."

Evidence Types

Strong Evidence	Weak Evidence
Screenshots with dates	"I saw something"
Recorded calls (where legal)	"Someone told me"
Email copies with headers	Vague descriptions
Physical materials (flyers, etc.)	Hearsay
URLs and archived pages	Unverifiable claims
Photos with timestamps	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

Timeline	Action
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

Who Knows	What They Know
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

flowchart TD
    A[Report Received] --> B[Acknowledgment Sent]
    B --> C[Initial Review]
    C --> D{Valid Report?}
    D -->|No| E[Closed - Insufficient Info]
    D -->|Yes| F[Investigation Opened]
    F --> G[Evidence Reviewed]
    G --> H[IA Contacted if Needed]
    H --> I{Violation Confirmed?}
    I -->|No| J[Closed - No Violation]
    I -->|Yes| K[Disciplinary Action]
    K --> L[Resolution Documented]
    L --> M[Reporter Notified if Identified]

Investigation Timeline

Stage	Typical 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.

Action	Consequence
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:

• Email: compliance@corsairconnect.com
• Subject: Compliance Report - [Brief Description]

Questions about reporting:

• Email: compliance@corsairconnect.com
• Subject: Reporting Question