BC-2.9.2

Past version: Effective from 01 Jul 2007 to 30 Jun 2010
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On receiving complaints from clients (either orally or in writing), investment firm licensees must:

(a) Acknowledge complaints promptly, and provide clients with an explanation about how the complaint will be handled and any actions required of the client;
(b) Consider and handle complaints fairly and promptly, keeping clients informed of progress; and
(c) Provide final responses to clients' complaints without undue delay.
Amended: January 2007