74. 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 subparagraph 19.1 of the first paragraph of section 175, dealers and advisers must adopt one themselves.
2008, c. 24, s. 74; 2018, c. 23, s. 6661.