Impact of new rules on complaint handling on dealers and advisers
All securities or derivatives dealers and advisers registered in Québec with the Autorité des marchés financiers (AMF), including members of the Canadian Investment Regulatory Organization (CIRO) and firms that service clients in Québec while having no business location in Québec, will have new compliance obligations regarding complaint handling as of July 1, 2025. The Regulation respecting Complaint Processing and Dispute Resolution in the Financial Sector (the Regulation), requires firms to assess and…

