D-9.2 - Act respecting the distribution of financial products and services

Section 103.1 Disposition versions

2019-06-13

103.1. The complaint processing and dispute resolution policy adopted under subparagraph 1 of the first paragraph of section 103 must, in particular,

(1)  set out the characteristics that make a communication to the firm a complaint that must be registered in the complaints register kept under subparagraph 2 of the first paragraph of section 103; and

(2)  provide for a record to be opened for each complaint and prescribe rules for keeping such records.

The firm must make a summary of the policy, including the elements specified in subparagraphs 1 and 2 of the first paragraph, publicly available on its website, if the firm has one, and disseminate it by any appropriate means to reach the clientele concerned.

2002, c. 45, s. 362; 2004, c. 37, s. 90; 2008, c. 7, s. 74; 2018, c. 23, s. 536.

2008-05-28

103.1. Every firm shall, on any date determined by the Authority, submit to the latter a report to that date concerning the policy it has established pursuant to section 103.

The report shall mention, in particular, the number and nature of the complaints filed.

2002, c. 45, s. 362; 2004, c. 37, s. 90; 2008, c. 7, s. 74.

2004-12-17

103.1. Every firm shall, each year, within two months after the closing date of its fiscal year or on any other date determined by the Authority, submit to the latter a report to that date concerning the policy it has established pursuant to section 103.

The report shall mention, in particular, the number and nature of the complaints filed.

2002, c. 45, s. 362; 2004, c. 37, s. 90.

2002-12-11

103.1. Every firm shall, each year, within two months after the closing date of its fiscal year or on any other date determined by the Agency, submit to the latter a report to that date concerning the policy it has established pursuant to section 103.

The report shall mention, in particular, the number and nature of the complaints filed.

2002, c. 45, s. 362.