Complaint Handling Process
Pollitt & Co. Inc. (“Pollitt”) makes every effort to ensure that your account is handled properly and professionally. However, if you ever do have a complaint, the Pollitt Compliance Department, will be responsible for resolving it.
We would prefer that you put your complaint in writing and send it to our Compliance Department at 330 Bay Street, Suite 405, Toronto, ON M5H 4C7.
If you are unable to do so or the matter is urgent, please contact the Compliance Department by telephone at 416-365-3313. If necessary, they will help you to explain your complaint. We will attempt to resolve your complaint immediately. If we cannot do so within five days of initial receipt, we will acknowledge your complaint in writing and send you a copy of this description of our process along with a copy of the Investment Industry Regulatory Organization of Canada brochure entitled “An Investor’s Guide to Making a Complaint.”
We will also provide you with an estimate of how long it will take to complete the investigation of your complaint. Thereafter, we will endeavour to investigate and resolve your complaint as quickly as possible. If it is a serious matter or requires particular expertise, we may hire outside counsel or consultants to assist us. While the investigation is ongoing we will report to you every thirty days on when you can expect a response.
If the investigation takes longer than 90 days, we will report on the reasons to the Investment Industry Regulatory Organization of Canada, as required in its rules. At the end of the investigation we will report to you in writing on the results of the investigation, our proposed course of action and the reasons for it and your options if you are not satisfied with our response.
Pollitt has designated the Chief Compliance Officer as the Designated Complaints Officer. The Designated Complaints Officer has responsibility for oversight of the complaint handling process and any related communication between Pollitt and Regulatory bodies if required. Any questions with respect to Pollitt’s complaint handling process should be forwarded to the Designated Complaints Officer by contacting 416-365-3313.
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