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When do you lodge a complaint with your investment dealer (stockbroker) or transfer agent?
If your complaint concerns a commercial dispute between you and your investment dealer or transfer agent, or unsatisfactory service by your investment dealer or transfer agent, you should first lodge your complaint promptly with your stockbroker or transfer agent. If you fail to receive a satisfactory response after follow-ups with your investment dealer or transfer agent, you may consider lodging your complaint with the ESE. 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.
When do you lodge a complaint with the ESE?
Where a matter concerns possible improper conduct by your stockbroker or transfer agent, for example, your stockbroker had executed trades in your account without your approval, you may consider lodging your complaint with the ESE.
You can send your complaint letter to the ESE at:
When filing a complaint, please include the following information:
The focus of our initial investigation is regulatory in nature. If the ESE is of the view that a breach of the Stock Exchange rules has occurred, we may commence disciplinary proceedings against the investment dealer or take such action as permitted under our rules. However, our investigations do not necessarily result in compensation to you by the securities broker or the withdrawal of civil proceedings by the investment dealer to recover amounts owing.
What should you do if you have information concerning specific instances of market misconduct?
If you have information concerning an instance of market misconduct, including information on insider trading or market manipulation, you can inform the ESE by writing to the below address:
PLEASE NOTE THAT:It would be useful for our initial investigation if you can provide the dates of the alleged market misconduct, the securities concerned, and the names of parties involved and their relationships.
Or email firstname.lastname@example.org