Aligned Capital Partners Inc. Complaint Resolution Policy
Aligned Capital Partners Inc. (ACPI) participates in a thorough process when reviewing a complaint. ACPI adheres to required regulatory complaint handling procedures when assessing written or verbal client complaints. ACPI is committed to dealing with verbal and/or written complaints fairly and in a timely manner. Each new client of ACPI receives a copy of complaint handling procedures at the time of account opening and is available on our website at www.alignedcapitalpartners.com.
Due to reasons of confidentiality, ACPI will only correspond with the complainant and/or an individual whereby the complainant has provided ACPI with written signed authorization to share private information. At times, ACPI may request additional information from the complainant when evaluating the complaint.
ACPI has appointed the Chief Compliance Officer (CCO) as the Designated Complaints Officer. Concerns, requests for additional information, and/or documentation in support of a complaint can be submitted to the Designated Complaints Officer at:
Aligned Capital Partners Inc.
Attn: Designated Complaints Officer
200 - 3430 South Service Road
Burlington Ontario, L7N 3T9
Fax: (905) 634-8021
Within 5 business days, complainants will receive an acknowledgement letter. The acknowledgement letter will include the contact information for the Complaints Officer assigned to review and assess the complaint. Attached to the acknowledgement letter will be a copy of the “Investor’s Guide to Making a Complaint” brochure; which can also be reviewed at: http://www.iiroc.ca/investors/makingacomplaint/Documents/InvestorProtectionBrochure_en.pdf
This brochure provides guidance on statute and/ or limitation periods and outlines the options available to complainants should they wish to pursue the matter beyond ACPI which includes the Investment Industry Regulatory Organization of Canada (IIROC), the Ombudsman for Banking Services (OBSI), independent arbitration, or legal action.
Within 90 calendar days, complainants will be provided a written substantive response from ACPI; which will include: a summary of the complaint, results of our investigation, subsequent final decision, and additional options available to complainants should they not be satisfied with the firm’s response.
Should ACPI require additional time outside of the 90 calendar day period, ACPI will write to complainants outlining the reasons for the additional time required and a new estimated time of completion.