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https://www.iiroc.ca/industry/enforcement/Pages/Statistics.aspx
Jan 31, 2020 · Statistics Filed by Dealer Firms (COMSET) IIROC rules require Dealer Members to inform IIROC, using IIROC's Complaints and Settlement Reporting System (ComSet), when certain events occur, including when a Dealer Member receives a written client complaint, when criminal charges are laid against a Dealer Member or any of its individual registrants, or when a securities-related civil …
https://www.iiroc.ca/investors/makingacomplaint/Pages/statistics.aspx
Just over 20% of our inquiries are about filing a complaint, followed by queries about dealer firm policies and procedures and IIROC rule questions. Since many of these inquiries about filing a complaint are not regulatory in nature, they often do not result in a formal complaint to IIROC. The remaining queries cover a very broad range of topics.
https://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=560EC2E0FFA6439985F68B1D0F1CDB59&Language=en
of the ComSet event* Customer Complaint • A copy of the complaint letter and any attached documents • For verbal complaints, a copy of the complaint recipient’s notes of the conversation • A copy of the NCAF(s) for the relevant time period for all accounts being complained about • A copy of the substantive response letter to the ...
https://www.stikeman.com/en-ca/kh/canadian-securities-law/iiroc-announces-changes-to-comset-reporting-requirements
May 03, 2011 · On May 2, the Investment Industry Regulatory Organization of Canada (IIROC) announced that it was making changes to Complaints and Settlement Reporting (ComSet) reporting requirements. Specifically, IIROC will require members, as of June 1, to attach relevant supporting documentation at the time of entering a ComSet event.
https://www.investmentexecutive.com/news/from-the-regulators/iiroc-plans-enhancements-to-complaints-and-settlement-reporting-system/
Jan 07, 2010 · ComSet is also being changed to reflect the new requirements on dealers under the IIROC’s new complaint handling rule, which comes into effect on February 1. This rule requires that dealers generally provide to clients a substantive response to a complaint within 90 calendar days from the date of the complaint.
https://www.osc.gov.on.ca/en/Marketplaces_srr-iiroc_20090213_re-rfc-complaint.jsp
If there are reasons beyond the control of the Dealer Member in providing a substantive response, these reasons should be provided to IIROC as part of the delayed complaint notification filed through ComSet. IIROC will decide on a case by case basis if the explanation offered for the delay is reasonable.
https://www.atb.com/siteassets/pdf/wealth/new-client-package/complaint-handling-summary.pdf
complaint from a client, the complaint will be escalated to ATBSI Compliance within 24 hours. Compliance will determine whether the complaint is a service or sales complaint. If deemed a sales complaint, ATBSI Compliance will: • Obtain a written statement of complaint from you, as necessary. • Provide you with the Investment Industry
https://www.osc.gov.on.ca/en/Marketplaces_srr-iiroc_20090213_rfc-amd-complaint.jsp
The proposed amendments to the complaint handling requirements seek to establish an effective framework for the client complaint handling process. The proposed new rule sets out specific standards and timelines to be adhered to in acknowledging, investigating and responding to client complaints that allege misconduct relating to the handling of the client's account(s). The rule also requires ...
https://www.bloomburton.com/complaint-handling-process/
Bloom Burton has a responsibility to ensure that each complaint is acknowledged and resolved on a timely basis. Complaints also give Bloom Burton the opportunity to review its procedures and highlight any problems that should be addressed. Complaints may be received either verbally or in writing. Complaints can be filed by the client or by
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https://www.techrepublic.com/article/10-user-complaints-about-it-support/
This is a common complaint of the notebook users, especially those who spend days at a time living out of hotels and sitting in airports and on planes. We do not have a clearly defined policy on ...
https://www.thefreedictionary.com/complaint
Define complaint. complaint synonyms, complaint pronunciation, complaint translation, English dictionary definition of complaint. n. 1. An expression of pain, dissatisfaction, or resentment. 2. A cause or reason for complaining; a grievance: What is your complaint? 3. a.
https://www.consumeraffairs.com/credit_cards/world-financial-network-national-bank.html
I recently had gotten offers for credit card accounts when placing online orders, and was happy to accept them. Each site I went to, under this bank, offered me credit. ...1.1/5(176)
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http://iiac.ca/wp-content/uploads/2009-03-16E-IIAC-Letter-Regarding-IIROC-Amendments-to-Complaint-Handling-Requirements-and-to-IIROC-Dealer-Member-Rules-19-37-and-2500.pdf
Mar 16, 2009 · RE: IIROC Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500 We are writing on behalf of our membership to express concerns regarding amendments to IIROC Client Complaint Handling Requirements (Proposed Rule) as published in the
https://tea.texas.gov/About_TEA/Contact_Us/Complaints
Complaints to TEA The Texas Education Agency accepts reports of fraud involving state and federal programs and funds, including information or data report to TEA used for school accountability purposes. To report fraud, file a written complaint with TEA by filling out the complaint form online or by mail
http://archive.constantcontact.com/fs017/1102829252413/archive/1105657011272.html
Event Type . Documentation to be attached at the time of initial entry of the ComSet event* Customer Complaint · A copy of the complaint letter and any attached documents · For verbal complaints, a copy of the complaint recipient's notes of the conversation · A copy of the NCAF(s) for the relevant time period for all accounts being complained about
Welcome to COMPLAINT.COM, the universal complaint site. Feel free to complain about anything whatsoever. Why? Because we care! Expect a more interesting site here soon.
https://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=24894D1362ED459FB263FAD28A99520D&Language=en
complaint to the securities regulatory authorities, self regulatory organizations or other enforcement authorities, or continuing with any pending complaint in progress, or participating in any further proceedings by such authorities. 6. Complaint record retention The complaint file must be maintained for seven (7) years and retrievable within a
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