CLIENT COMPLIANTS

 

Gravitas Securities Inc. (GSI) takes all client complaints seriously. GSI has adopted the following procedures to enhance our open and honest review process for client complaints.

 

How does a client make a complaint?

 

A client has several options when making a complaint. Firstly, a client should contact their IA to resolve any concerns that they may have. Alternatively, the client may wish to contact the Branch Manager of their local GSI office: they may also contact the Compliance department in our Toronto Head Office. Complaints may be verbal or in writing.

 

What will GSI do once they have received a client complaint?

 

GSI will respond to all client complaints in writing. The letter to the client will include the contact information for the compliance department staff member who will be conducting the investigation and the client will also be advised as to the maximum time that the investigation may take. This will allow the client to follow the investigation and provide any information that they feel is relevant. Our compliance staff may also request additional information from the client to be able to conduct the investigation.

 

The client will receive a copy of  Making a Complaint: A Guide for Investors (Part 1 of 2) and How Can I Get My Money Back? A Guide for Investors (part 2 of 2).These brochures will provide information on how to make a complaint to an IIROC Member firm and the other options that are available to the client.

 

How will GSI investigate a client complaint?

 

All client complaints are investigated by the compliance department. Information is collected with assistance from our Branch Managers, the staff member involved, the client, as well as from other sources deemed necessary.

 

How will the client be informed of the results of the investigation?

 

At the conclusion of the investigation, compliance will forward the client a letter outlining the following:

  • A summary of the complaint

  • The results of the investigation

  • GSI decision as to the results of the investigation

  • A statement describing what options are available to the client if they are not satisfied with the results of the investigation

GSI Designated Complaints Officer

 

GSI has designated our Chief Compliance Officer as our Designated Complaints Officer, who is responsible for the oversight of the customer complaint handling process. If you have any questions or comments about our complaint handling process, please contact our Designated Complaints Officer at:

 

Gravitas Securities Inc.

 

333 Bay Street, Suite 1700, Bay Adelaide Centre
Toronto, ON, M5H 2R2     Attention: Complaints Officer