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Engineering, procurement, construction & management of crude oil refineries.
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Why file a complaint? Is there anything I should do before filing a complaint with RS? When do I file a complaint with RS? How do I file a complaint with RS? What information will I have to provide when filing a complaint? How will RS handle my complaint? How long does a complaint investigation take? Will RS award me damages if my complaint is valid? Why file a complaint with RS? The receipt of complaints enables RS to identify potential trading violations, which could impact investor confidence or affect fairness in the equities market. Using complaint information, RS can initiate an investigation leading to the issuance of sanctions against a regulated party that is found to have violated any trading rule(s). Alternatively, after an initial investigation, RS may forward cases of possible securities law violations to the appropriate regulator. | |
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Is there anything I should do before filing a complaint with RS? Before filing a complaint, check whether the matter is handled by RS or by another regulatory organization such as one of the exchanges, the IDA or a provincial Securities Commission. In some cases, it will be appropriate to file complaints with both RS and one or more other regulatory bodies. For more information, go to When to Submit a Complaint. | |
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When do I file a complaint with RS? RS handles complaints relating to the improper execution of a trade, potential violations of the Universal Market Integrity Rules (UMIR) or certain marketplace-specific rules, or where concerns exist regarding timely disclosure of material information. Specific concerns related to the conduct of a brokerage firm or listed company should be directed to the exchanges, the IDA and/or a provincial Securities Commission with jurisdiction over the matter. | |
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How do I file a complaint with RS? Complaints can be filed by email, mail, phone, fax or by filling out our on-line complaint form. | |
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What information will I have to provide when filing a complaint? It is up to the complainant to decide what information including personal information (such as name, phone number, etc.) will be provided when filing a complaint. Anonymous complaints may be filed. However, it is helpful to leave contact information in the event that RS requires further information about the complaint. All information received will remain confidential. | |
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How will RS handle my complaint? After receiving a complaint, RS will thoroughly review the complaint and decide whether an investigation is warranted. RS will contact the complainant within 2 days to verify receipt of the complaint and advise on the next steps that will be taken. If the complaint requires further investigation, it will be handled by RS's Investigative Trading Analysis staff. If a complaint relates to a matter within the jurisdiction of another securities regulator, RS will pass it on to the appropriate body. | |
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How long does a complaint investigation take? The length of a complaint investigation will vary depending on the nature of the complaint, the possible violations that have occurred, and the information made available to RS. RS will verify receipt of complaints within 2 business days. | |
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Will RS award me damages if my complaint is valid? RS does not have the authority to compensate investors. An RS Hearing Panel or staff can only issue sanctions, such as fines or suspension of market access, in a disciplinary proceeding. An investor seeking financial redress would have to pursue damages through the legal system or arbitration. |
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