Complaint Process

Once a complaint is received by the Regulatory Division, a letter that acknowledges receipt will be sent to the plaintiff. An analyst from the Division will then open a file and analyze the complaint and take one of the following steps:

  • If the analysis concludes that there has been no rule violation, the Regulatory Division will close the file and take no further action in the matter.
  • If a possible rule violation is detected, the analyst will refer the matter to the Investigation unit for further review.

As a matter of practice, the Regulatory Division does not disclose information on ongoing investigations and analyses.

Occasionally, the complaint may be referred to another regulatory or self-regulatory organization, such as if the matter is already under review by this organization and/or the object of the complaint falls under its jurisdiction.

The table below illustrates the management process of a complaint originating from various sources.

Process