The following outlines the client complaint handling policy and procedures of Harbourfront Wealth Management Inc.
A complaint may be submitted by any client, and should be submitted directly by the client or by someone authorized to act for that client. If the complaint is being made on behalf of another party, that party must be identified and evidence of authority to represent the party provided.
Submitting a complaint:
Complaints must be submitted in writing and forwarded to:
Harbourfront Wealth Management Inc.
3100-1021 West Hastings St.
Attention: Designated Complaints Officer, Compliance Department
What to include:
While no specific format is required, the following details should be provided:
- Your name and contact information
- If you are an authorized representative, contact information for yourself and for the party you represent
- A description of the nature of your complaint
- Information relating to your complaint including the names of your Investment Advisor and/or his or her Supervisor, a chronology of events and details of any steps already taken by you to resolve the issue
Acknowledgement and Review
Harbourfront will send you an acknowledgment letter by mail, within five business days of our receipt of your complaint, confirming the name and contact information of the party handling your file.
A review and assessment of the allegations raised in your complaint and the circumstances surrounding it will be carried out by Harbourfront, and within 90 calendar days you will either be provided with a substantive response or notified that more time is required to complete the assessment. Once we have completed our review, we will notify you in writing how your complaint will be resolved. You will also be provided with additional information with regard to your options should you not be satisfied with the outcome of our review.