V-1.1 - Securities Act

Section 168.1.1 Disposition versions

2019-06-13

168.1.1. All dealers and advisers must process the complaints filed with them in a fair manner. To that end, they must

(1)  follow a policy for processing complaints filed by their 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 paragraph 27.0.4 of section 331.1, dealers and advisers must adopt one themselves.

2002, c. 45, s. 630; 2009, c. 25, s. 31; 2018, c. 23, s. 685.

2009-09-28

168.1.1. Every dealer or adviser must provide equitable resolution of complaints filed with the dealer or adviser. To that end, the dealer or adviser 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 provided;

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

2002, c. 45, s. 630; 2009, c. 25, s. 31.

2002-12-11

168.1.1. Every securities dealer or adviser must provide equitable resolution of complaints filed with the dealer or adviser. To that end, the dealer or adviser 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 provided;

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

2002, c. 45, s. 630.