Satisfied Clients are The Foundation of Our Business
PSC has procedures in place to handle any written or verbal complaints received from clients in a fair and prompt manner. This is a summary of those procedures, which we provide to new clients, clients who have filed a complaint, and that we also make available on our website at www.portfoliostrategies.ca. Our complaint handling procedures and the information in this section applies to complaints about any product or service that we provide, including mutual funds, segregated funds, and exempt securities.
Clients wishing to complain to PSC may make their complaint to our head office, or to any branch manager, or to your Advisor. All complaints are forwarded to qualified compliance or supervisory personnel to be handled. We encourage clients to make their complaint in writing or by email where possible. Where clients have difficulty putting their complaint in writing, they should advise us so that we can provide assistance. For confidentiality reasons, we will only deal with the client or another individual who has the client’s express written authorization to deal with us.
You may contact PSC head office by mail at Portfolio Strategies Corporation, 6700 Macleod Trail, Unit 550, Calgary, AB T2H 0L3; by telephone at (877) 303-3233 to speak with a compliance officer; or by e-mail at compliance@portfoliostrategies.ca. You may also submit a complaint by using the Contact Form on the Contact Us page of www.portfoliostrategies.ca.
We will acknowledge receipt of complaints promptly, generally within five business days. We review all complaints fairly, taking into account all relevant documents and statements obtained from the client, the Advisor, other staff members, and information from our records and any other relevant source. Once our review is complete, we provide clients with our response, which will be in writing if the complaint was made in writing. Our response may be an offer to resolve your complaint, a denial of the complaint with reasons, or another appropriate response. Where the complaint relates to certain serious allegations, our initial acknowledgement will include copies of this summary and the Client Complaint Information Form. Our response will summarize your complaint and our findings and will contain a reminder about your options with the Ombudsman for Banking Services and Investments (“OBSI”).
For further information, please refer to CIRO’s pamphlet “How to Make a Complaint”, a copy of which is provided at the time of account opening. The following section is the brochure as prescribed by CIRO. We also provide a copy of the brochure as a separate document to any client who makes a complaint. Note that OBSI does not deal with complaints related to segregated funds or other products that legally fall under insurance regulation.
For more information, refer to the following brochure: https://www.ciro.ca/media/7616/download?inline