Complaint Handling
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Pope & Company Limited is committed to providing our clients with the best possible service including the prompt and fair resolution of any complaints you may have about the handling of your account.
If you are unable to satisfactory resolve with your investment advisor a service complaint, or if your concern is regarding an allegation or misconduct relating to the handling of your account or dealings with our firm, we ask you to submit the details of your complaint in writing to the following address:
Pope & Company Limited, 40 University Avenue, Suite 420, Toronto M5J 1T1
Attention: Compliance Department
Attention: Compliance Department
We 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: 1) summary of your complaint, 2) the results of our investigation, 3) our recommendation for resolution, 4) the reasons for our proposed resolution, 5) the options available to you in the event you are dissatisfied with our proposed resolution.
