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

Section 103 Disposition versions

2019-06-13

103. Every firm must process the complaints filed with it in a fair manner. To that end, a firm must

(1)  follow a policy for processing complaints filed by its clients and resolving disputes with them; and

(2)  keep a complaints register.

Unless such a policy is fully set out in a regulation made under section 216.1, the firm must adopt one itself.

1998, c. 37, s. 103; 2002, c. 45, s. 362; 2018, c. 23, s. 536.

2002-12-11

103. Every firm must provide equitable resolution of complaints filed with the firm. To that end, a firm must establish a policy dealing with

(1)  the examination of complaints and claims filed by persons having an interest in a product or service it has distributed ;

(2)  the resolution of disputes pertaining to a product or service it has distributed.

1998, c. 37, s. 103; 2002, c. 45, s. 362.

1999-10-01

103. A firm shall keep a register of the complaints received from its clients in the manner prescribed by regulation. The firm must deal with each complaint with diligence in accordance with the rules determined by regulation.

1998, c. 37, s. 103.