I-14.01 - Derivatives Act

Full text
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.
2008, c. 24, s. 75; 2018, c. 23, s. 811; 2018, c. 232018, c. 23, s. 666.
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).
2008, c. 24, s. 75; 2018, c. 23, s. 811.
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).
2008, c. 24, s. 75.