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 the Vice President, Client Services or Senior Advisor, Trust Services. If you are an individual investor, complaints should be raised to the Vice President, Operations. All can be reached through our switchboard at 416-361-0152. In the unlikely event that these individuals 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 or an 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

If you have followed the above steps and your complaint has not been resolved to your satisfaction, you may escalate the issue to the ETT Ombudsman. The Ombudsman will promptly respond to your complaint and you should expect resolution within fifteen business days. You should address your concern to the Office of the Ombudsman by mail or fax at the address in Step 2.

The Ombudsman for Banking Services

If these 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.

If you want the Ombudsman for Banking Services and Investments to look at your complaint, you can contact them in several ways.

Fill in their Complaint Form and submit it online. Download their Complaint Form to fax or mail a completed version to them with additional information or documents. Remember to keep a copy of your correspondence. Do not send originals of your documents.

Their mailing address is:
Ombudsman for Banking Services and Investments
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4
Their toll-free fax number is 1-888-422-2865
Please note you have up to 180 days after receiving ETT’s response to contact them to submit your complaint.
If you have a question, or want more information, please call them toll-free at 1-888-451-4519 or email them at ombudsman@obsi.ca

The Financial Consumer Agency of Canada (FCAC)

FCAC supervises federally regulated financial institutions, including ETT, to ensure 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
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.