Since 1963 our motto has been integrity and service.
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Complaint Handling
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Union Securities Ltd. makes every effort to provide the best possible service to our clients, including the prompt and fair resolution of any complaint you may have about the handling of your account(s). As such, if you are dissatisfied with how our firm or your Investment Advisor has dealt with you, we encourage you to contact us with your complaint. A complaint includes any recorded expression of dissatisfaction, but we encourage you to take the additional time to submit any complaint you have in writing, as it is our experience that a written client complaint is typically resolved faster.
In order to better assist you in bringing any complaint to our attention, you may wish to first consider the nature of the complaint. If you have a complaint related to service or an administrative error, we would ask that you to direct your complaint to your Investment Advisor or the Branch Manager of the branch where your Investment Advisor is located to see if it there is an immediate resolution. These types of complaints will generally be resolved quickly through verbal or written forms.
Alternatively, if you have concerns about a complaint already in progress or if your concern is regarding an allegation of misconduct relating to the handling of your account or dealings with our firm, you should contact our Designated Complaints Officer at the address below:
Martin Lang, Chief Compliance Officer
900-700 West Georgia Street
Vancouver, BC
V7Y 1H4
Tel: (604)687-2201
Fax: (604)646-2022
Email: mlang@union-securities.com
Our Designated Complaints Officer will, within five (5) business days of its receipt, formally acknowledge your complaint in writing, advise you of the person who will be handling your complaint and will provide you a copy of the Investment Industry Regulatory Organization of Canada's brochure entitled An Investor's Guide to Making a Complaint, which we encourage you to read carefully.
It is our policy to complete our investigation and response to your complaint as soon as practicable but in any event within 90 days of its receipt. If our investigation should take longer than 90 days to complete, we will send you a notification letter to keep you informed of its progress. You are entitled throughout the process to contact the person in charge of your investigation. During the investigation of your complaint, you may be asked to provide additional information to obtain further details or to clarify issues in the dispute. Once we complete our investigation, we will provide you with a written response which will contain the following:
- summary of your complaint
- the results of our investigation
- our recommendation for resolution
- the reasons for our proposed resolution
- the options available to you in the event you are dissatisfied with our proposed resolution.
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