Complaints
RBC Capital Markets (“RBCCM”) aims to continually deliver the highest standard of service to you and wetreat any expression of dissatisf action very seriously.
Should you wish to make a complaint, we will treat you f airly and are committed to investigating allcomplaints diligently and impartially. Further, we shall seek to resolve any complaints received as soon as
possible.

Making a complaint
You may complain to us in any medium, including in person, by telephone, in writing, or by email. Anycomplaints are made f ree of charge.

Who do I complain to?
Complaints may be addressed to your usual Relationship Manager or an RBCCM Supervisor who will beable to escalate your complaint as appropriate. Alternatively, you may direct your complaint to RBCCM
Compliance using the f ollowing contact details:
CanadaCapital Markets Compliance, Canada
RBC Centre
155 Wellington Street WestPO Box 150
Toronto, ON M5W 3K7

United State of America
Online: https://www.rbc.com/customercare/
Email: disputeresolution@rbc.com

Tel: 416-842-3881
Email: RBCCMCMCompliance@rbccm.com
Australia
Head of Compliance, Australia
Royal Bank of Canada, Sydney
Level 47, 2 Park St
Sydney NSW 2000
Tel: +61 2 9033 3000
Email: compliance.sydney@rbccm.com

Hong Kong
Regional Head of Compliance, Asia Pacif ic
41st and 42nd Floor
One Taikoo Place, Tai Koo Place
979 King’s Road
Quarry Bay
Hong Kong
Tel: +852 2842 6688
Email: RBCCMHKandSGComplaintsDL@rbccm.com

Japan
RBC Capital Markets (Japan) Ltd. Compliance
8F, AKASAKA INTERCITY AIR 8-1, 1-chome,
Minato-ku,
Tokyo 107-0052, Japan
Tel：813-4577-7166
Email: CM-JP-Compliance@rbc.com

Singapore
Head of Compliance (Capital Markets)
RBC, Singapore Branch
Asia Square Tower 1
8 Marina View
Singapore018960
Tel: +65 6230 1888
Email: RBCCMHKandSGComplaintsDL@rbccm.com

United Kingdom
Co-Heads of Capital Markets Compliance
RBC Capital Markets
100 Bishopsgate
London, EC2N 4AA
United Kingdom

FranceHead of Compliance
RBC Capital Markets
Réclamations Clients
58, Avenue Marceau
75008 Paris, France

Tel: +44 (0)207 653 4351 / +44 (0)207 029 7775
Email: cmukcomplaints@rbccm.com

Tel: +33.1.42.99.37.23
Email: cmf rcomplaints@rbccm.com

Germany
Head of Compliance
RBC Capital Markets (Europe) GmbH
Taunusanlage 1760325 Frankf urt am Main Deutschland

Netherlands
Head of Compliance
RBC Capital Markets (Europe) GmbH
Amsterdam Branch
Regus Of f ice Number 5.14-5.16
World Trade Centre
Zuidplein 36
Amsterdam
1077 XV, Netherlands

Tel: +49 (0)69 50 50 80 200
Email: cmeucomplaints@rbccm.com

Tel: +31 202 454 501
Email: cmeucomplaints@rbccm.com
Spain
Head of Compliance
RBC Capital Markets (Europe) GmbH
Sucursal en ESPAÑA
Servicio de Atención al Cliente
Maria de Molina, 4 Planta 4 28006 Madrid
EspañaTel: +49 (0)69 50 50 80 200
Email: cmeucomplaints@rbccm.com

RBC Client Complaints Appeal Office (RBC CCAO)
You also have the option to appeal your complaint to the RBC CCAO, which is the most senior designatedof fice appointed to address appealed complaints within RBC. If you choose to do so, we will f orward yourcomplaint on your behalf to the RBC CCAO.

Our complaints handling procedure
RBCCM maintain and operate an internal complaints handling procedure. RBCCM will handle allcomplaints in line with the applicable regulatory requirements in the jurisdictions in which it operates,including, where appropriate, acknowledging receipt of complaints in writing and providing a written
response to the complainant f ollowing the investigation of the complaint.
Please contact us if you would like f urther details regarding these procedures .

Regulators and External Complaints Bodies
Clients in a number of regions are also entitled to approach the relevant regulator or external complaint
body directly with a complaint. The contact information for these regulators 1 and external complaint bodies
can be f ound below:

Canada - IIROC, Montreal Exchange, Ontario Securities Commission, Financial
Consumer Agency of Canada, ADR Chambers Banking Ombuds Office (ADRBO)
1 Other provincial or territorial securities regulators can be contacted if applicable.

▪

https://www.iiroc.ca/investors/makingacomplaint/Pages /def ault.aspx▪

https://reg.m-x.ca/en/complaints/f orm▪

https://www.osc.gov.on.ca/en/contactus_index.htm▪

While the FCAC does not resolve individual customer complaints, if you believe that your complaint
relates to a violation of a f ederal consumer protection law, you may submit your complaint to:
Financial Consumer Agency of Canada, Enterprise Building, 6th Floor, 427 Laurier Avenue West,Ottawa, ON K1R 1B9. Telephone: 1-866-461-3222, www.f cac-acf c.gc.ca.

Additionally, if your complaint is eligible f or investigation by the ADR Chambers Banking Ombuds Office(ADRBO) and:▪
▪

RBC has exhausted the 56 calendar days prescribed time period f or dealing with the eligiblecomplaint; orYou are not satisf ied with the resolution of f ered by the Client Complaints Appeal Of f ice

You have up to 180 calendar days to submit your complaint to the ADRBO after receiving a final responsef rom RBC, or if 56 calendar days have passed since your complaint was made.
ADR Chambers Banking Ombuds Of f ice
31 Adelaide Street East
PO Box 1006
Toronto, ON M5C 2K4
Toll-f ree telephone: 1-800-941-3655
Toll-f ree f ax: 1-877-803-5127
contact@bankingombuds.ca
bankingombuds.ca

United States of America - FINRA, SEC, CFTC, NFA
Clients within the USA as well as clients of RBC’s USA subsidiaries, including RBC Capital Markets, LLC,
are entitled to approach the relevant regulator directly to f ile a complaint:▪

https://www.f inra.org/investors/have-problem/f ile-complaint/complaint-center▪

https://www.sec.gov/oiea/Complaint.html▪

https://www.cf tc.gov/complaint▪

https://www.nf a.f utures.org/complaintnet/complaint.aspx

Australia - Australian Financial Complaints Authority
If you are an Eligible Complainant (as defined by AFCA), you may fall under the jurisdiction of the AustralianFinancial Complaints Authority. For more information on the Australian Financial Complaints Authority,
please visit their website: Link
Additionally, they can be contacted via the details below:
Australian Financial Complaints Authority Limited
GPO Box 3
Melbourne VIC 3001

Hong Kong - HKMA
Additional inf ormation on how to approach the HKMA with regards to complaints can be f ound on theirwebsite: Link
Furthermore, you are entitled to approach the Financial Dispute Resolution Centre should you remain
dissatisf ied with the resolution of your complaint by RBC: https://www.f drc.org.hk/

Japan - FINMAC
With regard to the settlement of complaints RBC Capital Markets (Japan) Ltd. may utilize the f ollowing
external institution to settle the complaints in addition to internal measures.
Japan Securities Dealers Association (Outsourced to the FINMAC)
Tel: +81 (0)120-64-5005
http://www.f inmac.or.jp/english/
The Financial Futures Association of Japan (Outsourced to the FINMAC)
Tel: +81 (0)120-64-5005
http://www.f inmac.or.jp/english/

Singapore - Monetary Authority of Singapore (MAS)MAS’ role as the financial services sector regulator is to supervise financial institutions for compliance with
MAS’ laws and regulatory instruments. The MAS looks into matters of supervisory concern, such as
violations of rules and regulations, and breaches of relevant codes of practice and guidelines.
MAS is unable to handle disputes between you and your financial institution. These include matters relating
to f inancial institutions’ commercial decisions, service issues, contractual agreements and monetaryclaims. For such disputes, you may wish to lodge a complaint directly with t he f inancial institution. If you
are still unable to resolve the matter with the financial institution, you may consider contacting the Financial
Industry Disputes Resolution Centre Ltd (FIDReC) for assistance. FIDReC specialises in the resolution ofdisputes between financial institutions and their customers. For more details on what you can do or who
you can turn to for help if you have a problem with a financial product or the service standards of a financial
institution, you can ref er to "Resolving a dispute with a f inancial institution".
If you wish to report regulatory breaches or misconduct by a f inancial institution or its representative (e.g.
a f inancial advisory representative), please complete this online f orm.

United Kingdom - Financial Ombudsman Service
If you are an Eligible Complainant (as defined by the FCA), you may fall under the jurisdiction of theFinancial Ombudsman Service. For more inf ormation on the Financial Ombudsman Service, please visit
their website.
Additionally, they can be contacted via the details below:
The Financial Ombudsman Service
Exchange Tower, London E14 9SR, United Kingdom
Tel: 0800 023 4567 or 0300 123 9 123
Fax: +44 (0) 20 7964 1001
Website: www.f inancial-ombudsman.org.uk

France - AMF Ombudsman Office
If your dispute is eligible for mediation by the Autorité des Marchés Financiers (AMF) Ombudsman’s Officethey can be contacted in writing or via their website.
Ombudsman
Autorité des Marchés Financiers
17 place de la Bourse
75082 Paris cedex 02
FranceTel: +33 (0) 1 53 45 62 00
Website: www.amf -f rance.org/en/amf -ombudsman

Germany - BaFin Complaints
If your dispute is eligible f or mediation by BaFin you may also complain in writing to:
Bundesanstalt f ür Finanzdienstleistungsauf sicht
Graurheindorf er Straße 10853117 Bonn, Germany
Tel: +49 (0)228 4108-0
Fax: +49 (0)228 4108-1550
E-mail: poststelle@baf in.deFor more inf ormation you can visit the BaFin website: English Link / German Link.

Netherlands - AFM / KiFiD
If your dispute is eligible f or mediation by the Dutch Authority f or the Financial Markets (AFM), theircomplaints procedure is available here: Link
Should you complaint not be resolved to your satisfaction you may wish to engage the Netherlands
Financial Services Complaints Tribunal.
Klachteninstituut Financiële Dienstverlening (Kif id)
Postbus 93257
2509 AG, DEN HAAG
Tel: 070-333 8 999
www.kif id.nl

Spain - The National Securities Market Commission (CNMV)
If you wish to make a complaint to the CNMV you may do so with this f orm addressed to:
CNMVComplaints Service
C/ Edison, 4,28006 Madrid
Website: https://www.cnmv.es/portal/inversor/reclamaciones.aspx?lang=en