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V-1.1 - Securities Act

Section 168.1.3
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168.1.3. Within 10 days after a complaint is registered in the complaints register, the dealer or adviser must send the complainant a notice stating the complaint registration date and the complainant’s right, under section 168.1.4, to have the complaint record examined.
2002, c. 45, s. 630; 2004, c. 37, s. 16; 2008, c. 7, s. 146; 2009, c. 25, s. 32; 2018, c. 23, s. 685.
168.1.3. Every dealer or adviser shall inform each complainant, in writing and without delay, that a complainant may, if he or she is dissatisfied with the complaint examination procedure or its outcome, request the dealer or adviser to forward a copy of the complaint file to the Authority.
Where requested by a complainant, the dealer or adviser shall forward a copy of the complaint file to the Authority.
The Authority shall examine the complaint and may, if it considers it appropriate, act as a mediator if the parties agree.
2002, c. 45, s. 630; 2004, c. 37, s. 16; 2008, c. 7, s. 146; 2009, c. 25, s. 32.
168.1.3. Every securities dealer or adviser shall inform each complainant, in writing and without delay, that a complainant may, if he or she is dissatisfied with the complaint examination procedure or its outcome, request the securities dealer or adviser to forward a copy of the complaint file to the Authority.
Where requested by a complainant, the securities dealer or adviser shall forward a copy of the complaint file to the Authority.
The Authority shall examine the complaint and may, if it considers it appropriate, act as a mediator if the parties agree.
2002, c. 45, s. 630; 2004, c. 37, s. 16; 2008, c. 7, s. 146.
168.1.3. Every securities dealer or adviser shall inform each complainant, in writing and without delay, that a complainant may, if he or she is dissatisfied with the complaint examination procedure or its outcome, request the securities dealer or adviser to forward a copy of the complaint file to the Authority.
Where requested by a complainant, the securities dealer or adviser shall forward a copy of the complaint file to the Authority.
The Authority shall examine the complaint and may, if it considers it appropriate, act as a mediator if the parties agree. It may also retain the services of a natural person to act as a mediator or, with the authorization of the Government, enter into an agreement for that purpose with a body or a legal person.
2002, c. 45, s. 630; 2004, c. 37, s. 16.
168.1.3. Every securities dealer or adviser shall inform each complainant, in writing and without delay, that a complainant may, if he or she is dissatisfied with the complaint examination procedure or its outcome, request the securities dealer or adviser to forward a copy of the complaint file to the Agency.
Where requested by a complainant, the securities dealer or adviser shall forward a copy of the complaint file to the Agency.
The Agency shall examine the complaint and may, if it considers it appropriate, act as a mediator if the parties agree.
2002, c. 45, s. 630.
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