Final answer:
Brokers and agents can be investigated for noncompliance based on reports made through a Complaint Tracking Module (CTM), grievance filings, or secret shop findings. Yelp reviews are not a standard channel for reporting compliance issues in this professional context.
Step-by-step explanation:
Brokers and agents may be investigated for noncompliant activities, and such investigations can be initiated following reports through a Complaint Tracking Module (CTM), a grievance that has been filed, or findings from a secret shop. Yelp reviews are generally not a formal mechanism for reporting noncompliance in the financial or insurance sectors. When a broker or agent is reported for possible noncompliance, regulatory bodies may take these reports seriously, initiating an investigation to ensure that all activities adhere to industry regulations and standards.
The final answer to the question is: Brokers/agents may be investigated after being suspected of noncompliant activity reported through a a. Complaint Tracking Module (CTM) and c. grievance. A secret shop finding might also trigger an investigation, depending on the regulatory framework. Yelp reviews, being informal and requiring verification of authenticity and relevance, are generally not used as bases for such investigations.