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.