BC-2.9.2

Past version: Effective from 01 Jul 2010 to 30 Sep 2011
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On receiving complaints from clients (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 within 20 business days.
Amended: July 2010
Amended: January 2007