Tag: Rule 9500

Nothing to Complain About – Regulators Propose Additional Amendments Regarding Complaint-Handling Procedures

Jan 31, 2022 | Regulatory Compliance

Regulators continue to review best practices relating to complaint-handling procedures. On January 13, the Investment Industry Regulatory Organization of Canada (IIROC) released proposed amendments respecting reporting, internal investigations and client complaint...

Tag: Rule 9500

Nothing to Complain About – Regulators Propose Additional Amendments Regarding Complaint-Handling Procedures

https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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