Client Complaint Handling Procedures

Client Complaint Handling Procedures

Client Complaint Handling Procedures

 Maison Placements Canada Inc. prides itself in offering a high quality of service, however, if there is a complaint regarding the firm or any of its employees, we would ask that you bring it to our attention immediately in order that we may address it promptly.

 

Your first option is to contact your Investment Advisor with any questions or concerns you have for an immediate response. If you feel that your concern requires attention at a more senior level, we ask that you outline your issue in writing to our Chief Compliance Officer at Maison Placements Canada Inc., 130 Adelaide Street West, Suite 2116, Toronto, Ontario M5H 3P5.  If you are unable to do so, please contact the Compliance Department at (416) 947-6068 and we will assist you.

 

If the complaint needs to be escalated and a written complaint has been received by the firm or a phone conversation has transpired with the Chief Compliance Officer, Maison will acknowledge receipt of your complaint in writing and undertake a complete investigation. We will advise you of the person who will be responsible for investigating the complaint.  At Maison, all complaints are handled under the supervision of the Designated Complaints Officer who is also Maison’s Chief Compliance Officer.

 

Our investigation process consists of a complete review of all relevant documentation. The documents will be reviewed and discussions will be held with the appropriate parties.  If there are further documents which you feel are relevant, we would ask you to forward them.  In addition, you will have the opportunity to provide your personal input.

 

Upon completion of the investigation we will report to you, in writing, the results of the investigation, our proposed course of action and any additional options available to you.

 

In addition to, or in the alternative, you can also bring your complaint to the attention of the Investment Industry Regulatory Organization of Canada (IIROC), at 121 King St. W, 16th Floor, Toronto, ON, M5H 3T9 (phone 1-877-442-4322).  A complaint form is available online at www.iiroc.ca.  Other options include contacting the Ombudsman for Banking Services and Investments (OBSI), after 90 days have passed from the date of your complaint or receipt of our final response.  OBSI may be contacted at P.O. Box 896, St. Adelaide, Toronto, ON, M5C 2K3 (phone 1-999-451-4519) or at www.obsi.ca.  Please note that OBSI will not investigate any matter which has been submitted to arbitration or litigation.



 

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