Dundee provides a written summary of our client complaint handling procedures to new clients at account opening. Securities laws govern the processes by which Dundee reviews and responds to client complaints.
Dundee has a regulatory obligation to acknowledge a client complaint within five days of receipt and review all client complaints in detail. Upon completion of our review, we provide a summary of the complaint, results of our investigation and an explanation of our decision to the client. Dundee will provide a final decision with respect to a complaint within 90 days or an interim response, with an explanation for the delay and the expected new response time.
For further information, please contact our Chief Compliance Officer at the address below:
Dundee Securities Ltd.
1 Adelaide Street East, 21st Floor
Toronto, Ontario M5C 2V9
Attention: Chief Compliance Officer
IIROC Complaints Brochure