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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), can be submitted to the Ombudsman for Banking and Investments (OBSI), to which all Mutual Fund Dealers Association (MFDA) members and Investment Industry Regulatory Organization of Canada (IIROC) dealers must subscribe.

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



Documents

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

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

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