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Getting advice

If you have a complaint Add to ...

Four reasons to consider making a complaint

  1. You rarely hear from your adviser.
  2. Your adviser’s suggestions don’t seem to match your goals.
  3. Your adviser makes frequent or unusual trades.
  4. You feel pressured to invest.

Three steps to making a complaint

  1. Talk to your adviser and their manager – Most of the time, they can clear complaints up quickly. If that doesn’t work, move onto step 2.
  2. Write a letter to your adviser or to their manager – You can also write a letter to the firm’s compliance officer. If you don’t hear back soon, call to make sure the person got your letter.
  3. Contact the Ombudsman for Banking Services and Investments (OBSI) – If you’re not happy with the firm’s response, contact OBSI at 1-888-451-4519.

More Related to this Story

Content in this section is provided in partnership with Investor Education Fund, a non-profit organization founded and supported by the Ontario Securities Commission that provides unbiased and independent financial tools to help Canadians make better money decisions. To find out more, go to: GetSmarterAboutMoney.ca



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