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  • BC-3.6 BC-3.6 Records of Complaints

    • BC-3.6.1

      An investment firm licensee 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 investment firm licensee for a period of 5 years from the date of receipt of the complaint.
      Adopted: October 2011