When do you lodge a complaint with your investment dealer (broker)?
If your complaint concerns a commercial dispute between you and your investment dealer, or unsatisfactory service by your investment dealer, you should first lodge your complaint promptly with your broker. If you fail to receive a satisfactory response after follow-ups with your investment dealer, you may consider lodging your complaint with SEM. If the matter is purely commercial, there may not be anything we can do. But if it involves a breach of our rules, we can consider an investigation of that matter.