OTT is a member of the Investment Industry Regulatory Organization of Canada (“IIROC”). A brochure entitled “ An Investor’s Guide to Making a Complaint” will be provided to you upon account opening. This brochure outlines your options should you have a complaint which cannot be resolved by our Compliance Department.
The Company has procedures in place to handle written or verbal complaints received from clients in a fair and prompt manner. This is a summary of those procedures:
What Constitutes a Complaint?
A complaint is a recorded or verbal expression of dissatisfaction with OTT or one of its employees alleging misconduct.
Client Access to the Complaint Process
At the time of account opening, clients are provided with:
• a written summary of the OTT Complaint Handling Procedures; and
• a copy of an approved complaint handling process brochure An Investor’s Guide to Making a Complaint
How to File a Complaint with OTT
Complaints are required in writing and must be report to Chief Complaints Officers. Clients wishing to complain to OTT may contact us by e-mail at firstname.lastname@example.org or by mail to:
Chief Complaints Officer
Compliance Department, OTT Financial Canada Inc.,
5140 Yonge St., Level 5,
North York ON M2N 6L7
Tel: 1-800-806-0667 Extension 6105
Complaint Acknowledgment Letter
A letter acknowledging receipt of the complaint is sent within five (5) business days, along with a copy of OTT’s Complaint Handling Procedures.
Complaint Investigation Process
The OTT Compliance Department will gather the facts, information and documentation and objectively consider the complaint.
Substantive Response Letter
When the investigation is completed, but no later than ninety (90) calendar days after the complaint is received, OTT will send a substantive response letter outlining the complaint, OTT’s decision and the reasons for the decision.