BC-3.7.1

An investment firm licensee must submit to the CBB's Consumer Protection Unit a quarterly report summarising the following:

(a) The number of complaints received;
(b) The substance of the complaints;
(c) The number of days it took the investment firm licensee to acknowledge and to respond to the complaints; and
(d) The status of the complaint, including whether resolved or not, and whether redress was provided.
Amended: April 2020
Adopted: October 2011