You may direct any complaints that you may have concerning your relationship with us to the Firm’s Designated Complaints Officer.

A complaint, whether written or verbal, is generally defined as any of the following:

allegations of breach of confidentiality, theft, fraud, misappropriation or misuse of funds or securities or other property, forgery, unsuitable investments, misrepresentation, unauthorized trading, other inappropriate financial dealings with clients and engaging in securities related activities outside of A.G.P. Canada.

We are obligated to investigate any allegation you make to us whether written or verbal, and we may need to contact you during the course an investigation if we need further clarification concerning the nature of such allegation.

As a member of the Canadian Investment Regulatory Organization (CIRO), we have a responsibility to our clients to ensure that all complaints are dealt with fairly and promptly.

In either case we will acknowledge your complaint within 5 days of receipt and will provide you our final written decision within 90 days. For Quebec residents, a final written decision will be provided within 60 days, or a maximum of 90 days in exceptional circumstances.

In circumstances where we are unable to complete our investigation within the 90-day period (Quebec Residents – 60 days), we will advise you of that in writing and will also provide an explanation for the delay.

When we have completed our investigation, we will provide you our final written response summarizing our understanding of your allegation, the conclusion we have reached and our rationale for that conclusion.

We will also provide you with a list of the options that are available to you should if your are dissatisfied with our conclusion. In some cases, further issues may be escalated to CIRO and the Ombudsman for Banking Services (OBSI).