Complaints Handling Procedure

The following outlines Canaccord Genuity Bamboo’s policies and procedures for dealing with complaints.

A "complaint" is deemed to include an alleged grievance involving Canaccord Genuity Bamboo or an employee.
Examples of a complaint may include:

1. Any written statement, including email or fax, of a client, or any person acting on behalf of a client;
2. Any written or verbal statement from any person alleging: theft, fraud, misappropriation of funds or securities, forgery, money laundering, market manipulation, insider trading, misrepresentation, or unauthorized trading;
3. Any other verbal complaint from a client that will warrant the same treatment as a written complaint.

We are responsible for responding to your feedback effectively and efficiently, and for resolving any complaint you may have regarding your Canaccord Genuity Bamboo accounts.  In most cases, a complaint can be resolved by client services or their manager.  However, should you feel your complaint cannot be resolved by client services or their manager, contact our Designated Complains Office (“DCO”) directly at:

Canaccord Genuity Corp.
C/O Designated Complaints Officer
PO Box 10337
609 Granville Street, Suite 2200
Vancouver BC Canada
V7Y 1H2

The DCO is responsible for acknowledging your complaint within 5 days of its receipt.  The acknowledgement letter will include the contact information of the person handling your complaint, a summary of our complaint handling procedures, the timeframe in which you can expect to receive a substantive response to your complaint, and the escalation steps available to you should you remain dissatisfied with our complaint examination findings.  Submitted with the letter will also be a copy of IIROC’s “An Investor’s Guide to Making a Complaint” pamphlet.  The substantive response letter we sent to you will include a summary of your complaint, an explanation of our investigation, our final decision, and your available options should you be dissatisfied with that decision.