Dispute Handling Procedure

TriCert Investment Counsel (TriCert) is committed to providing you with high-quality service and always acting in your best interests. Despite our commitment, concerns may occasionally arise about your account or the services you have received.

If you have a concern or complaint related to your account(s) or about any trading or advising activity involving TriCert, your Portfolio Manager, or another representative of TriCert, the following steps outline how to seek resolution.

Step 1: Contact our Wealth Operations Team as early as possible by phone at 1-877-291-3040, or email at ClientServices@TriCert.ca.  Our Wealth Operations Team will assist you in addressing the issue.

Step 2: If the Wealth Operations Team is not able to resolve the matter, you may contact your Portfolio Manager or request to speak with them directly.

Step 3: If the issue remains unresolved or you are unsatisfied with the response, you may submit your complaint to:

TriCert Investment Counsel Inc.
ATTN: Chief Compliance Officer
1A-Weber Street North
Waterloo, ON N2L 4E9
Email: compliance@tricert.ca

Complaints received in writing will be acknowledged in writing within five business days of receipt.

Step 4: If you remain unsatisfied following the Chief Compliance Officer’s review, you may request to speak with TriCert’s President and CEO.

IMPORTANT:  In most cases, a written response will be provided within 90 days of receiving your complaint. For resident of Québec, the response will be provided within 60 days. The response will outline the results of our investigation and any corrective actions, if applicable.

Step 5: If you are not satisfied with our final response, or if we have not responded within 90 days, you may contact the Ombudsman for Banking and Investment Services (OBSI), a free, independent service that helps resolve disputes between participating firms and their clients.

Ombudsman for Banking Services and Investments
20 Queen Street West, Suite 2400 
P.O. Box 8
Toronto, ON M5H 3R3
Phone: 1 888 451-4519
Email: ombudsman@obsi.ca

NOTE: OBSI’s recommendations are not binding on either party. OBSI can recommend compensation of up to $350,000. If you accept their recommendation, you agree to that compensation limit. OBSI services are available within six years from the time you first knew, or ought to have known, about an event causing the complaint. Please visit www.obsi.ca for more information.

If you live in the province of Québec and are not satisfied with our response, you may request for us to refer your complaint to the Autorité des marchés financiers (AMF) for them to examine and address the matter.

Autorité des marchés financiers
Place de la Cité, Tour Cominar
2640, boulevard Laurier, bureau 400
Québec, QC G1V 5C1
1 418 525-0337
www.lautorite.qc.ca