If you have serious concerns about the way your investments have been handled, a company you have invested in, or believe securities law has been breached by a company or individual, you can make a formal complaint to the ASC.
If your concern is with your investment account, financial adviser or investment company, you should first try to resolve your dispute with your financial adviser, the branch manager, or the compliance officer. If the matter relates to an Investment Industry Regulatory Organization of Canada (IIROC) or Mutual Fund Dealers Association member firm, you should contact these self-regulatory organizations directly. Or, alternatively contact the Ombudsman for Banking Services and Investments (www.obsi.ca).
If your concern is with respect to the poor execution of a trade order, potential violations of the Universal Market Integrity Rules (UMIR), potential trading violations by a regulated person, or concerns regarding timely disclosure of material information by a publicly listed company, forward your complaints to Investment Industry Regulatory Organization of Canada (IIROC).
If you would like to send a complaint to the ASC you must include enough details so we can determine what actions might be necessary.
Please fill out the online form. Please be prepared to explain:
- What your complaint is about.
- When the incident took place (dates, times etc).
- The steps you have taken during the course of the situation.
- Names and addresses of those involved, and your relationship to the company or individual at the source of the complaint.
- If you have any copies of letters, cancelled cheques, account statements, or other documents that will help explain your complaint and support your statements. You may be asked to provide these hard copy documents at a later date.
- Other relevant information that would be helpful to better understand your concerns.
Should you wish to file a complaint via regular email, fax or letter, be sure to include all of these details. Send to:
Attn: Case Assessment
Attn: Case Assessment
Alberta Securities Commission
Suite 600, 250–5th St. SW
Calgary, Alberta, T2P 0R4