At Equity Associates Inc. we take all customer issues seriously and are committed to finding fair and reasonable solutions. We have 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 wishing to complain to Equity Associates Inc., may make their complaint to our head office by contacting the Chief Compliance Officer. 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. You may raise your concerns to us either verbally or in writing, however, depending on the nature of the complaint we may require written statements. 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. Upon receipt of your complaint we send you an acknowledgement letter within 5 days as well as a copy of the this summary and the Client Complaint Information Form,. This letter confirms your complaint is being review and who you may contact during the review process. We will thoroughly review your concerns which will include a review of your account holdings and any other relevant source and the recommendations made to you by the sales associate. A written response will be sent to you within 90 days. Our response may be an offer to resolve your complaint, a denial of the complaint with reasons or another appropriate response. Our response will summarize your complaint, our findings and will contain a reminder about your options with the Ombudsman for Banking Services and Investments.
Clients may contact us at any time to provide further information or to inquire as to the status of their complaint, by contacting the individual handling their complaint or by contacting the Chief Compliance Officer.
Should you have any concerns please send your correspondence to:
Attention: Chief Compliance Officer
Equity Associates Inc.
10761 Woodbine Ave, Suite 204
Markham, Ontario L6C 1J3
Phone: (905) 305-0400