Equity Transfer & Trust Company

Client Complaints Procedure

Equity Transfer & Trust Company (“ETT”) cares about the quality of service provided to its clients. If you have a complaint about service received from ETT, we encourage you to follow the complaint procedure outlined below.

Step 1:

If you are a corporate client, the first point of escalation should be through the Manager, Client Services or Manager, Corporate Trust. If you are an individual investor, complaints should be raised to the Manager, Investor Services who can be accessed through our switchboard at 416-361-0152. In the unlikely event that these individual are unable to resolve your complaint proceed to step 2.

Step 2: Office of the President

A written summary of your complaint and copies of any prior correspondence with ETT should be forwarded to:

Office of the President - Complaints
Equity Transfer & Trust Company
200 University Avenue, Suite 400
Toronto ON M5H 4H1
Fax: 416-361-0470

Please be sure to include a telephone number where you can be reached, a mailing address and/or e-mail address.

We expect to resolve your complaint within fifteen business days. If you are not satisfied with the response that you receive you may contact ETT’s Ombudsman.

Step 3: Ombudsman

Assuming that you have followed the steps outlined herein and have not taken legal action in the matter you may escalate the issue to the ETT Ombudsman. The Ombudsman will promptly respond to your complaint and would expect resolution within fifteen business days. You should address your concern to the Office of the Ombudsman by mail or fax at the address noted in Step 2.

The Ombudsman for Banking Services

If the above steps do not resolve your concern, you may choose to escalate the matter further to the Ombudsman for Banking Services and Investments, who is independent from ETT, and provides an impartial process of investigation and resolution for clients of financial services providers who are either small businesses or individuals.

Ombudsman for Banking Services and Investments
P.O.Box 896 STN.Adelaide
Toronto, Ont., M5C 2K3

Telephone: 1-888-451-4519
Fax: 1-888-422-2865
Email: ombudsman@obsi.ca
Web Site: www.obsi.ca

The Financial Consumer Agency of Canada (FCAC)

FCAC supervises federally regulated financial institutions, including ETT to ensure that they comply with federal consumer protection laws.

If you have a complaint about a regulatory matter, you can contact the FCAC in writing at:

Financial Consumer Agency of Canada
6th Floor, Enterprise Building
427 Laurier Avenue West
Ottawa, Ontario K1R 1B9

Telephone: 1-866-461-3222
Web Site: www.fcac-acfc.gc.ca

FCAC will determine whether ETT is in compliance. It will not, however resolve individual consumer complaints.


HOME About Us vision and values services privacy policy FAQ's factsheet testimonials management For Clients publications FAQ's client forms proxy planning guide For Shareholders estates lost certificates shareholder forms FAQ's company search meeting schedule Contact contact us careers links © Equity Transfer & Trust Company	Client Complaints Procedure Equity Transfer & Trust Company (“ETT”) cares about the quality of service provided to its clients. If you have a complaint about service received from ETT, we encourage you to follow the complaint procedure outlined below. Step 1: If you are a corporate client, the first point of escalation should be through the Manager, Client Services or Manager, Corporate Trust. If you are an individual investor, complaints should be raised to the Manager, Investor Services who can be accessed through our switchboard at 416-361-0152. In the unlikely event that these individual are unable to resolve your complaint proceed to step 2. Step 2: Office of the President A written summary of your complaint and copies of any prior correspondence with ETT should be forwarded to: Office of the President - Complaints Equity Transfer & Trust Company 200 University Avenue, Suite 400 Toronto ON M5H 4H1 Fax: 416-361-0470 Please be sure to include a telephone number where you can be reached, a mailing address and/or e-mail address. We expect to resolve your complaint within fifteen business days. If you are not satisfied with the response that you receive you may contact ETT’s Ombudsman. Step 3: Ombudsman Assuming that you have followed the steps outlined herein and have not taken legal action in the matter you may escalate the issue to the ETT Ombudsman. The Ombudsman will promptly respond to your complaint and would expect resolution within fifteen business days. You should address your concern to the Office of the Ombudsman by mail or fax at the address noted in Step 2. The Ombudsman for Banking Services If the above steps do not resolve your concern, you may choose to escalate the matter further to the Ombudsman for Banking Services and Investments, who is independent from ETT, and provides an impartial process of investigation and resolution for clients of financial services providers who are either small businesses or individuals. Ombudsman for Banking Services and Investments P.O.Box 896 STN.Adelaide Toronto, Ont., M5C 2K3 Telephone: 1-888-451-4519 Fax: 1-888-422-2865 Email: ombudsman@obsi.ca Web Site: www.obsi.ca The Financial Consumer Agency of Canada (FCAC) FCAC supervises federally regulated financial institutions, including ETT to ensure that they comply with federal consumer protection laws. If you have a complaint about a regulatory matter, you can contact the FCAC in writing at: Financial Consumer Agency of Canada 6th Floor, Enterprise Building 427 Laurier Avenue West Ottawa, Ontario K1R 1B9 Telephone: 1-866-461-3222 Web Site: www.fcac-acfc.gc.ca FCAC will determine whether ETT is in compliance. It will not, however resolve individual consumer complaints.
Home \| Privacy Policy \| Contacts