3727. Duty to assist in client complaint resolution

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    1. If an Approved Person moves to a different Dealer Member after a complaint has been made against the Approved Person, the Approved Person must continue to co-operate with the Dealer Member where they were employed or acted as an agent until the complaint has been resolved.

    2. Dealer Members must co-operate with each other if events relating to a complaint took place at more than one Dealer Member or if the Approved Person is an employee or agent of another Dealer Member that is not involved in the events relating to the complaint. 

    There is no history log for this rule.

    There is no history log for this rule.