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  • Records of Complaints

    • C4-3.4.8

      Category 4 investment firms must maintain a record of all customers’ complaints. The record of each complaint must include:

      (a) The identity of the complainant;
      (b) The substance of the complaint;
      (c) The status of the complaint, including whether resolved or not, and whether redress was provided; and
      (d) All correspondence in relation to the complaint.

      Such records must be retained by the licensee for a period of 5 years from the date of receipt of the complaint.

      Added: January 2022