V-1.1 - Securities Act

Section 168.1.4 Disposition versions

2019-06-13

168.1.4. A complainant whose complaint has been registered in the complaints register may, if dissatisfied with the dealer’s or adviser’s processing of the complaint or the outcome, request the dealer or adviser to have the complaint record examined by the Authority.

The dealer or adviser is required to comply with the complainant’s request and send the record to the Authority.

2002, c. 45, s. 630; 2004, c. 37, s. 90; 2009, c. 25, s. 32; 2018, c. 23, s. 685.

2009-09-28

168.1.4. Notwithstanding sections 9 and 83 of the Act respecting Access to documents held by public bodies and the Protection of personal information (chapter A-2.1), the Authority may not communicate a complaint file without the authorization of the dealer or adviser that has transmitted it.

2002, c. 45, s. 630; 2004, c. 37, s. 90; 2009, c. 25, s. 32.

2004-12-17

168.1.4. Notwithstanding sections 9 and 83 of the Act respecting Access to documents held by public bodies and the Protection of personal information (chapter A‐2.1), the Authority may not communicate a complaint file without the authorization of the securities dealer or adviser that has transmitted it.

2002, c. 45, s. 630; 2004, c. 37, s. 90.

2002-12-11

168.1.4. Notwithstanding sections 9 and 83 of the Act respecting Access to documents held by public bodies and the Protection of personal information (chapter A‐2.1), the Agency may not communicate a complaint file without the authorization of the securities dealer or adviser that has transmitted it.

2002, c. 45, s. 630.