Roth Canada, Inc. (“Roth Canada”) is required to have procedures to ensure that all Client complaints are dealt with effectively, fairly and expeditiously. Roth Canada has a regulatory obligation to acknowledge a client complaint within five days of receipt and to review client complaints thoroughly.
All Client complaints (written or verbal) must be reported to the Designated Complaints Officer (“DCO”).
Investment Industry Regulatory Organization of Canada (“IIROC”) defines a Client complaint as:
• a recorded expression of dissatisfaction with an IIROC member, or its employee or agent, alleging misconduct. This may include any written submission, fax or email communication or verbal recording, or
• a verbal expression of dissatisfaction with an IIROC member, or its employee or agent, alleging misconduct where a preliminary investigation indicates that the allegation may have merit.
“Alleged misconduct” includes but is not limited to allegations of theft, fraud, misappropriation of funds or securities, forgery, unsuitable investments, misrepresentation, or unauthorized trading relating to a Client’s Account.
As a member of IIROC, Roth Canada is obliged to conduct an appropriately comprehensive investigation and provide the Client with a final response within 90 days of the receipt of your complaint. If for some reason Roth Canada is not able to send a response to the applicable Client within the ninety (90) day time frame, such Client must be advised in writing of the reasons for the delay and the new estimated time of completion.
At the time of account opening, a new Client will be provided with a copy of IIROC’s brochures, copies of which can be found below:
• Making a Complaint: A Guide for Investors (Part 1 of 2) which provides the Client with information on how to make a complaint to Roth Canada and IIROC; and
• How Can I Get My Money Back? A Guide for Investors (part 2 of 2) provides the Client with information on options for seeking compensation.
Complaints should be sent/directed to:
Roth Canada, Inc.
130 King Street, Suite 1921
Toronto, Ontario, M5X 2A2
Attention: Designated Complaints Officer
Or via email: CCO@rothcanada.ca