V-1.1 - Securities Act

Full text
168.1.8. On the date set by the Authority, dealers and advisers shall send it a report on the complaint processing and dispute resolution policy adopted pursuant to subparagraph 1 of the first paragraph of section 168.1.1 stating the number of complaints they have registered in the complaints register and their nature.
The report must cover the period determined by the Authority.
2018, c. 232018, c. 23, s. 685.