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BC-2.9.1

Past version: Effective from 01 Jul 2010 to 30 Sep 2011
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Investment firm licensees must disclose, maintain and operate effective procedures for handling complaints within five business days:

(a) Informing clients in writing of any out of court complaint and redress mechanism and methods for having access to it;
(b) Paying compensation or other forms of redress to retail clients where the investment firm licensee decides this is appropriate; and
(c) Regularly verifying if complaints are effectively processed.
Amended: July 2010
Amended: January 2007