Kingwest & Company has procedures to handle both written and verbal complaints.
If you have a complaint, please submit the details, preferably in writing, to a compliance officer either by email (firstname.lastname@example.org), by mail at 86 Avenue Rd, Toronto, Ontario M5R 2H2, or by fax to 416-927-9264.
For confidentiality reasons, we will only communicate with you or an individual who has your express written authorization to speak on your behalf.
Complaint Handling Procedure
Kingwest & Company will acknowledge all complaints within five business days of receiving the complaint. Our acknowledgement letter will include the name, job title, and full contact information of the compliance officer designated to handle this matter. The letter will include a statement indicating that you should contact the designated compliance officer for any inquiries about the status of your complaint. We will provide you with a brochure outlining the options available to you should the resolution of your complaint be unsatisfactory.
We will review all complaints fairly after gathering the necessary information, and we will provide you with our findings in a substantive letter. We will make reasonable effort to respond to all complaints as soon as possible and no later than 90 calendar days from the date of receipt by Kingwest & Company. If we are unable to provide you with the substantive letter within 90 days, and we will provide you with reasons for the delay.
In our letter we will either offer to resolve the complaint or deny it. You may have to sign a release. If the case offers a financial settlement, they will be provided with information regarding alternative options including arbitration, litigation, IIROC or OBSI if they are unsatisfied with our response.