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I-14.01 - Derivatives Act

Section 74
Disposition versions

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74. All dealers and advisers must process the complaints filed with them in a fair manner. To that end, they must
(1)  follow a policy for processing complaints filed by their clients and resolving disputes with them; and
(2)  keep a complaints register.
Unless such a policy is fully set out in a regulation made under subparagraph 19.1 of the first paragraph of section 175, dealers and advisers must adopt one themselves.
2008, c. 24, s. 74; 2018, c. 23, s. 666.
74. Dealers and advisers must provide equitable resolution of complaints filed with them. To that end, they must each adopt a policy dealing with
(1)  the examination of complaints and claims filed by persons having an interest in a product or service they have provided; and
(2)  the settlement of disputes regarding such products or services.
The Government may frame the policy or elements of the policy by regulation.
2008, c. 24, s. 74.
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