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The Voice of Canada’s Investment Funds Industry

Dispute Resolution

Canada’s robust regulatory system ensures that investors have access to fair and open mechanisms for resolving complaints. A tiered system enables many disputes to be resolved early. Those that cannot be settled through the dealer resolution process as prescribed by the relevant self-regulatory organization (SRO), outside of Quebec, can be submitted to the Ombudsman for Banking and Investments (OBSI), to which all SRO members must subscribe. In Quebec, those cases can be settled through the Autorité des marchés financiers.

Items in this section relate to complaint handling amendments proposed by the industry’s self-regulatory bodies, as well as by OBSI.


IFIC Submission - CSA Consultation - Registered Firm Requirements to an Independent Dispute Resolution Service (March 1, 2024)

CFIQ - Submission - AMF - Complaint Handling (February 17, 2023)

IFIC Submission - OBSI Governance Review - Request for Public Comment (January 31, 2023)

IFIC Submission - OBSI Securities Investment Mandate Stakeholder Consultation (January 31, 2022)

CFIQ - Submission - AMF - Rules on complaint handling - (December 8, 2021)

IFIC Submission – Independent Evaluator – Evaluation of OBSI (March 11, 2016)