ARTICLE · 19 DECEMBER 2017

Regulators Release Guidance Regarding Complaint Handling By Registrants

Norton Rose Fulbright Canada LLP

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On December 7, the CSA, the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada jointly published CSA Staff Notice 31-351...

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On December 7, the Canadian Securities Administrators, the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada jointly published CSA Staff Notice 31-351, IIROC Notice 17-0229 and MFDA Bulletin #0736-M (the Notice), which addresses certain issues surrounding how registered firms are operating their complaint-handling systems and the use of services offered by the Ombudsman for Banking Services and Investments (OBSI).

Requirements

National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) requires a registered firm to ensure OBSI services are made available at the firm's expense to resolve complaints made by clients about the trading or advising activity of the registered firm or its representatives.

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