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.