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To File a Complaint
Below are the steps to follow to file a complaint:
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Step 1 - Representative
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If you have any questions about your statements or notices, contact the representative whose name appears on these documents. If for any reason you are not satisfied with the representative’s service, you should then contact the compliance officer as mentioned in step 2.
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Step 2 - Compliance Officer
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If the problem could not be resolved after undertaking
Step 1, you may file a written complaint to the Industrial Alliance
Securities Compliance Officer. An acknowledgement of receipt accompanied
by a notice listing the name and coordinates of the Compliance Officer,
processing delays and the main elements of the company's complaint policy
will be forwarded to you within two business days.
Industrial Alliance Securities Inc.
Compliance Officer
1080 Grande Allée West
PO Box 1907, Station Terminus
Quebec City, Quebec G1K 7M3
E-mail: complaints@iagto.ca
Once a thorough examination of the complaint
has been conducted, the Compliance Officer will provide you with the results
of the examination within the prescribed deadlines.
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Step 3 - Ombudsman for Banking Services and Investments
(OBSI) or Arbitration
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If both of the previous steps have failed, you
can make use of one of the following services:
A) Ombudsman for Banking Services and
Investments (OBSI)
The Ombudsman for Banking Services and Investments (OBSI) provides independent
and impartial mediation services free of charge.
Disputes can relate to claims of a maximum amount
of $350,000 and complaints must be filed in writing.
Ombudsman for Banking Services and Investments
(OBSI)
PO Box 896
Station Adelaide
Toronto, Ontario M5C 2K3
Telephone: 1-888-451-4519
E-mail: ombudsman@obsi.ca
Website: www.obsi.ca
B) Arbitration
You may also make use of an arbitration service, which is faster and least
expensive than filing a claim in civil court. The arbitration is conducted
by a neutral organization that provides the arbitrators. In choosing this
method, all parties renounce to their right of presenting their case before
the courts or making use of any other conciliation service, such as the
OSBI. Please note that fees are applicable for this service.
To initiate the arbitration process, you must
prepare a summary of the dispute and specify the amount in question as
well as provide details of the steps taken to resolve it thus far. You
must also attach all documents that pertain to the dispute.
Ontario and Atlantic Provinces
ADR Chambers
Telephone: 1-800-856-5154
E-mail: adr@adrchambers.com
Website: www.adrchambers.com
Western Provinces, British Columbia, Northwest
Territories, Nunavut and Yukon
British Columbia International Arbitration Centre
Telephone: 1-877-684-2821
E-mail: options@bcicac.com
Website: www.bcicac.com
Quebec
Canadian Commercial Arbitration Centre
Telephone: 1-877-909-3794
E-mail: info@ccac-adr.org
Website: www.ccac-adr.org
Notice to Complainants in Quebec
In the province of Quebec, the regulatory body for financial institutions
is the Autorité
des marchés financiers. If you are dissatisfied with the process
used to examine your complaint or the results of the examination, you
may request that your file be transferred to the Autorité.
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