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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.


Complaint Handling

Submission to the MFDA Re: MFDA Proposed Amendments to Policy 3 (Handling of Client Complaints) (August 10, 2007)