Complaint Handling Process

 Our Promise to You

Canaccord Genuity Wealth Management is focused on maintaining a positive relationship with you, our client. However, if you ever have a question or concern about your accounts or any transactions performed on your behalf, you can:

  1. Contact your Investment Advisor. If your complaint is in regards to a service or product, your complaint should be discussed with your Canaccord Genuity Wealth Management Investment Advisor. Typically, they should be able to address most of your concerns.
  2. Contact your Investment Advisor’s Branch Manager if you feel that your issue cannot (or should not) be resolved with your Investment Advisor. Depending on the nature of the issue, the Branch Manager may ask you to provide a wrtten summary of the problem or complaint. He or she may escalate the problem to the attention of the firm’s Designated Complaints Officer (DCO), who is tasked with providing a fair and balanced investigation.
  3. Contact the Designated Complaint Officer (DCO) directly if you feel that you have a complaint that requires immediate attention and cannot be resolved by the Branch Manager. Our dispute and complaint process is fair, impartial and confidential. Within five business days the DCO will send a letter informing you that an investigation is underway. The DCO office will also provide you with further details about Canaccord Genuity Wealth Management’s complaint handling process, along with a copy of the Investment Industry Regulatory Organization of Canada’s (IIROC) brochure titled An Investor’s Guide to Making a Complaint.

Canaccord Genuity Wealth Management’s Designated Complaints Officer is:

Chief Compliance Officer - Canada
P.O. Box 10337
609 Granville Street, Suite 2200
Vancouver, BC
Canada V7Y 1H2