Wealth Management Advice, Products & Services Trust Services About the Trust Services Division Complaint Resolution Policy Complaint Resolution Policy Raymond James Trust (Canada) (RJ Trust Canada) and Raymond James Trust (Québec) Ltd. (RJ Trust Québec) have procedures in place to handle any written or verbal complaint received in a fair and prompt manner. This is a summary of those procedures. RJ Trust Canada and RJ Trust Québec’s policies are to request that all complaints be filed in writing. There may be instances where a verbal complaint may be received from a client which will warrant the same treatment as a written complaint. However, unless it is totally impractical or if there are other compelling reasons not to, clients will normally be advised that we will require their complaint in writing before we can proceed any further. For confidentiality reasons, we will only deal with the client or another individual who has the client's express written authorization to deal with us. Both entities have appointed their Chief Compliance Officer as the Designated Complaints Officer. How to Contact the Designated Complaints Officer Your concern and supporting documents can be submitted by the following methods: By Calling our Toll Free Number: 1-888-299-0209 By Email to: clientconcerns@raymondjames.ca By Mail To: Raymond James Trust (Canada) (or Québec) Attn: Designated Complaints Officer Suite 2100 - 925 West Georgia Street Vancouver, BC V6C 3L2 By Fax To: Attn: RJ Trust (Canada) (or Québec) - Designated Complaints Officer Fax number is: (604) 654-7238 We acknowledge complaints promptly, generally within 5 business days. Within the acknowledgement, you will be provided the name and contact information of the Complaints & Investigations Officer responsible for handling the complaint. Assessing the Complaint The Designated Complaints Officer will conduct a factual investigation and analysis of the matters specific to the complaint. In order to accomplish this, we will gather information addressing the issues raised in the complaint, copies of documentation completed, and any other documentation that may be available (e.g., notes, e-mails, etc.). The Designated Complaints Officer will review all documentation to assess the merits of the complaint. Additional analysis may be necessary, depending on the nature of the complaint. Conclusion Once the investigation has been completed, a written summary of our findings will be prepared and forwarded to you within 90 calendar days. In the event that additional time is required, you will be notified in writing and provided with both an explanation as to why our response has been delayed along with our best estimate of the time required for completion of our response. If you are dissatisfied with our written response addressing your concerns, you may respond to our letter indicating the issues you feel were not addressed. You may also request that your file to be transferred to the Ombudsman for Banking Services and Investments (OBSI). If you are a resident of Québec, you may request that your file be transferred to the Autorité des marchés financiers. If you are resident outside of Québec, you may ask that your file be reviewed by the Financial Consumer Agency of Canada (FCAC) at the contacts below. OBSI 20 Queen Street West, Suite 2400 P.O. Box 8 Toronto (Ontario) M5H 3R3 ombudsman@obsi.ca Telephone: 1-888-451-4519 Fax: 1-888-422-286 Autorité des Marchés Financiers Direction des plaintes et de l’indemnisation Place de la Cité, tour Cominar 2640, boulevard Laurier, bureau 400 Québec (Québec) G1V 5C1 Telephone: 1-877-525-0337 Fax: 1-877-285-4378 FCAC 6th Floor, Enterprise Building 427 Laurier Avenue West Ottawa (Ontario) K1R 1B9 Telephone: 1-866-461-3222 About Us Careers News & Media Contact Us Accessibility Legal Privacy Policy Raymond James Ltd. is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and of the Canadian Investor Protection Fund (CIPF). Customers’ accounts are protected by the Canadian Investor Protection Fund within specified limits. A brochure describing the nature and limits of coverage is available upon request or at www.cipf.ca. 3Macs, MacDougall, MacDougall & MacTier and Raymond James Correspondent Services are divisions of Raymond James Ltd. Raymond James Ltd. is an integrated financial services firm. Its subsidiaries, Raymond James Investment Counsel Ltd., Raymond James Financial Planning Ltd., Raymond James Trust (Canada) and Raymond James Trust (Québec) Ltd. are not members of the IIROC or the CIPF. Please consult each subsidiary’s webpages for applicable corporate, regulatory or membership information. © 2021 Raymond James Ltd. All rights reserved.