V-1.1 - Securities Act

Full text
168.1.2. The complaint processing and dispute resolution policy adopted under subparagraph 1 of the first paragraph of section 168.1.1 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 168.1.1; 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.
2002, c. 45, s. 630; 2004, c. 37, s. 90; 2008, c. 7, s. 145; 2009, c. 25, s. 32; 2018, c. 232018, c. 23, s. 685.
168.1.2. Every dealer or adviser shall, on any date determined by the Authority, submit to the latter a report to that date concerning the policy it has established pursuant to section 168.1.1.
The report shall mention, in particular, the number and nature of the complaints filed.
2002, c. 45, s. 630; 2004, c. 37, s. 90; 2008, c. 7, s. 145; 2009, c. 25, s. 32.
168.1.2. Every securities dealer or adviser shall, on any date determined by the Authority, submit to the latter a report to that date concerning the policy it has established pursuant to section 168.1.1.
The report shall mention, in particular, the number and nature of the complaints filed.
2002, c. 45, s. 630; 2004, c. 37, s. 90; 2008, c. 7, s. 145.
168.1.2. Every securities dealer or adviser shall, each year, within two months of the end of its fiscal year or on any other date determined by the Authority, submit to the latter a report to that date concerning the policy it has established pursuant to section 168.1.1.
The report shall mention, in particular, the number and nature of the complaints filed.
2002, c. 45, s. 630; 2004, c. 37, s. 90.
168.1.2. Every securities dealer or adviser shall, each year, within two months of the end of its fiscal year or on any other date determined by the Agency, submit to the latter a report to that date concerning the policy it has established pursuant to section 168.1.1.
The report shall mention, in particular, the number and nature of the complaints filed.
2002, c. 45, s. 630.