Chapter 7: Remedies and Enforcement
Part D: Complaints to Commission or Panel

s169: Investigation by Commission or Panel

  • (1) Upon initiating or receiving a complaint, or receiving a direction from the Minister, in terms of this Act, the Commission or Panel, as the case may be, may:
    • (a) except in the case of a direction from the Minister, issue a notice to the complainant in the prescribed form indicating that it will not investigate the complaint, if the complaint appears to be frivolous or vexatious, or does not allege any facts that, if proven, would constitute grounds for remedy under this Act;
      • (b) if they think it expedient as a means of resolving the matter, refer the complainant to the Companies Tribunal, or to an accredited entity, as defined in section 166(3), with a recommendation that the complainant seek to resolve the matter with the assistance of that agency or person; or
        • (c) direct an inspector or investigator to investigate the complaint as quickly as practicable, in any other case.
        • (2) At any time during an investigation, the Commission or Panel, as the case may be, may:
          • (a) designate one or more persons to assist the inspector or investigator conducting the investigation; or
            • (b) if a complaint concerns a dispute that is internal to a particular company, and does not appear to implicate a party other than the company, the holders of its securities, its directors, committees, prescribed officers, company secretary, or auditor:
              • (i) submit a proposal to the company seeking an agreement to jointly appoint an independent investigator:
                • (aa) at the expense of the company, or on a cost-shared basis; and
                  • (bb) to report to both the company, and to the Commission or Panel, as the case may be; or
                  • (ii) apply to a court for an order appointing an independent investigator:
                    • (aa) at the expense of the company; and
                      • (bb) to report to both the Commission or Panel, as the case may be, and the company.
                  • (3) In conducting an investigation contemplated in this section an inspector or investigator may investigate any person:
                    • (a) named in the complaint, or related to a person named in the complaint; or
                      • (b) whom the inspector reasonably considers may have information relevant to the investigation of the complaint.

                      Related Sections

                      s166: Alternative dispute resolution

                      Related Regulations

                      R132: Alternative dispute resolution procedures
                      R135: Filing of complaints with the Commission
                      R137: Investigation of complaints

                      Related Notes

                      No related note.

                      Related Forms

                      CoR132.1: Application for ADR
                      CoR132.2: Referral by Commission or Panel for ADR
                      CoR132.3: Certificate of failed ADR
                      CoR135.1: Complaint to Commission
                      CoR135.2: Commission Notice of Non-investigation
                      CoR137.1: Commission Notice to Investigate
                      CoR137.2: Commission Summons
                      CoR137.3: Commission request for additional information
                      CoR137.4: Commission Demand for corrected information