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BC-3.7.1

An investment firm licenseeG must submit to the CBB's Compliance Directorate 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 licenseeG 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.
Adopted: October 2011
 Versions
(1 Version)
 
Oct 1 2011 onwards
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