Complaints

Applicable securities regulations require that we inform you that, should you be dissatisfied with our products and services, you can send us your complaints by mail or email to the address indicated in the Subscription Agreement.  You may also submit your complaint via our interactive Complaint Form available on TCC’s website.

In accordance with our policies and procedures, all complaints are investigated impartially and thoroughly. After you submit your complaint, we will send you an email within 5 (five) days of our receipt of the complaint to acknowledge receipt, seek additional information that may help us assess and address the complaint and give you the name and contact information of the person responsible for addressing your complaint.

Next, we will send you a letter, within 90 (ninety) days of our initial receipt of the complaint, detailing the findings and conclusions of the analysis, as well as the options available to you if you are not satisfied with the conclusions. This service is independent of the dispute resolution mechanism made available to Quebec residents by the Autorité des marchés financiers (“AMF”). The service will be available to you at TCC’s expense.

If the complaint is not resolved to your satisfaction, you may ask to have your file transferred to the AMF by completing the transfer form available on the AMF’s web site: https://lautorite.qc.ca/en/general-public and sending it to TCC. A copy of your complaint file will be forwarded to the AMF.

The AMF will analyze your file to determine whether it can offer mediation or conciliation services. As these are voluntary dispute resolution processes, the AMF cannot compel a party to participate in them. It is important to note the complaint examination process does not interrupt the prescription period for bringing a court action.

Dispute Resolution

If you are a client who is an individual, you may escalate an eligible complaint, at TCC’s expense, to the independent dispute resolution or mediation service made available by the registered firm in the following circumstances: if the firm fails to give you notice of its decision within 90 days of receiving the eligible complaint, or if the firm has given you notice of its decision about the complaint and you are not satisfied with the decision, you have 180 days to escalate the complaint to the independent service.  Eligible complaints relate to trading or advising activities of the firm and its representatives. Additionally, the eligible complaint must be raised within 6 (six) years of the date when you discovered or reasonably ought to have known that an act or omission of the firm or its representatives caused or contributed to your complaint.

You may submit your request directly to the independent service named in TCC’s initial written response to your complaint. TCC must also be notified of your intention to resort to an independent service.

In Quebec, the name and contact information of the dispute resolution and mediation service made available to you will be disclosed by means of a written communication at the time TCC acknowledges receipt of your complaint.

Privacy

If you have any questions or complaints about how we handle your personal information, please contact us as indicated below:

By email:  privacy@transcanadacapital.com

By mail:  1800 McGill College, Suite 2000, Montreal, Quebec H3A 3J6