Complaint Handling Policy

We appreciate your trust in us. Industrial Alliance Securities Inc. (iAS) considers it essential to ensure high quality service is provided consistently to all our clients. That is why you can expect to receive a level of professionalism and integrity from all of our employees and investment advisors. Should you have a complaint concerning our services or products, we have a dispute settlement process, which allows you to obtain answers and equitable solutions to your concerns.

Trade confirmation notices/monthly statements:
For questions about your trade confirmations and monthly statements, please contact the investment advisor listed on your statements and notices.

Service related complaint:
For any concerns regarding the service provided by an investment advisor, please contact the iAS head office, which will refer you to a branch manager. The telephone number of the head office is
647-258-3773 or 1-833-297-3773. Service related complaints are those matters which are not subject to any regulatory rules or policies of a securities or financial services regulatory organization.

Securities related complaint: If the complaint is deemed to be securities related it should be forwarded to:

Industrial Alliance Securities Inc.
Attn: Complaints Officer
522 University Avenue, Suite 900
Toronto, ON, M5G 1Y7

What to expect when you file a complaint:
Upon receipt of your complaint, you will be provided with an acknowledgment of receipt and the name and contact information of the person handling the complaint, within five working days.

After extensive review of the complaint, the person responsible for your file will send you a substantive response within 90 days. This will include a summary of your complaint, the outcome of the investigation, an explanation of the decision and the alternatives available to you. If, however iAS is not able to provide a response within 90 days, you will be informed of the delay, reason thereof and the new estimated response time.

For your reference, please refer to the following two IIROC brochures:

Making a Complaint
How Can I get My Money Back?