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Customer Online Complaint Form |
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| Please use this form to file a complaint with the Case Assessment Department of the Investment Industry Regulatory Organization of Canada (IIROC). We require a written complaint from the owner of the account(s) in question, indicating the subject of the complaint, the issues involved and specific information regarding times, dates and events. While an individual may file a complaint on behalf of someone else, we require written authorization from the owner of the account in order to proceed with our review of the complaint. A written acknowledgement will be sent by electronic mail within 2 business days after receipt of the complaint if your email address is recorded on page 3 of this form. If further information is required a Case Assessment Officer will contact you. |
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| Our role in protecting investors is to investigate complaints of regulatory violations and to impose penalties on those who are found guilty of such violations. All matters brought to the attention of IIROC are not necessarily regulatory violations that result in disciplinary action. IIROC does not provide financial, investment or legal advice. |
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| If your firm is not in this drop-down list, please contact our toll free Complaints and Inquiries line for assistance at 1-877-442-4322. |
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