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Policy of the Minister of Justice
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I-14.01 - Derivatives Act
Section 75
Disposition versions
75. The complaint processing and dispute resolution policy adopted under subparagraph 1 of the first paragraph of section 74 must, in particular,
(1) set out the characteristics that make a communication to a dealer or adviser a complaint that must be registered in the complaints register kept under subparagraph 2 of the first paragraph of section 74; and
(2) provide for a record to be opened for each complaint and prescribe rules for keeping such records.
Dealers and advisers must make a summary of the policy, including the elements specified in subparagraphs 1 and 2 of the first paragraph, publicly available on their website, if they have one, and disseminate it by any appropriate means to reach the clientele concerned.
75. Dealers and advisers must inform each complainant, in writing and without delay, that, if dissatisfied with the examination of the complaint or its outcome, the complainant may request that a copy of the complaint record be sent to the Authority.
On the complainant’s request, the dealer or adviser must send a copy of the complaint record to the Authority.
The Authority examines the complaint record and may, if it considers it appropriate and the parties agree, act as a mediator. It may also enter into an agreement for that purpose in accordance with section 33.1 of the Act respecting the regulation of the financial sector (chapter E-6.1).
75. Dealers and advisers must inform each complainant, in writing and without delay, that, if dissatisfied with the examination of the complaint or its outcome, the complainant may request that a copy of the complaint record be sent to the Authority.
On the complainant’s request, the dealer or adviser must send a copy of the complaint record to the Authority.
The Authority examines the complaint record and may, if it considers it appropriate and the parties agree, act as a mediator. It may also enter into an agreement for that purpose in accordance with section 33.1 of the Act respecting the Autorité des marchés financiers (chapter A-33.2).
