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DRA-2.1.7

All types of disputes with a CMSP may be brought before and dealt with by an SRO (known as 'eligible disputes') subject to the following conditions:

(a) The CMSP involved in the dispute must be one which is subject to the jurisdiction of an SRO by reason of it being a member of an SRO, or an issuer whose securities are offered for trading (listed) on the SRO;
(b) The activity or dispute arises out of matters relevant to the CMSP complainant being or having been a client or shareholder of the CMSP;
(c) The activity to which the complaint relates must be subject to the jurisdiction of the SRO;
(d) The CMSP has failed to resolve the complaint to the satisfaction of the complainant within 4 weeks of receiving it; and
(e) The CMSP about which the complaint is made must be a member or listed at the time of the act or omission to which the complaint relates and must continue to be a member or listed at the time when the complaint is referred to the SRO.
July 2010