COMPLAINT HANDLING PROCEDURE
The following is a summary of Private Pension Partners Investments Inc.’s (“P3I”) complaint handling procedure:
- Where a client has initiated a complaint with P3I (be it in writing or verbally), the employee receiving the complaint shall document all conversations with the client to the extent that the complaint was not received in writing. The employee should request that the client further articulate their concerns in writing. The employee shall, whether in receipt of a verbal or written complaint, provide all such information to the Chief Compliance Officer (“CCO”) via e-mail within 24 hours of receipt of the complaint.
- The employee who initially received the complaint shall direct the client to P3I’s website, which includes a summary of the client’s rights in the event of a complaint.
- Within 5 business days from receipt of a client complaint (whether in writing or verbal), the CCO sends a written acknowledgement of the complaint to the client. The written acknowledgement of the complaint will contain the following information:
If the client seeks less than $350,000 from the complaint and if the CCO does not provide the client with a determination regarding the complaint within 90 days of P3I’s receipt of the complaint, P3I must offer an independent dispute resolution or mediation service to the client at P3I’s expense to consider the complaint;
If the client seeks less than $350,000 from the complaint and once the CCO provides a determination to the client regarding the complaint, the client can also request within 180 days from that determination an independent dispute resolution or mediation service to consider the complaint at the expense of P3I;
- the name, job title and full contact information of the individual at P3I handling the complaint;
- a statement indicating that the complainant should contact the individual mentioned above if they would like to inquire about the status of the complaint;
- a summary of P3I’s internal complaint handling process, including the anticipated timeline for providing a response to the complaint;
- a request for any information reasonably required to investigate and potentially resolve the complaint; and
- the CCO, with the compliance department, will investigate the complaint and determine whether to reject the complaint or make an offer to resolve the complaint.
The information on this website does not constitute, and should not be construed as, an offer to sell or a solicitation of an offer to purchase, securities of any entity. Securities will only be offered by Private Pension Partners Investments Inc. (“P3I”) in jurisdictions in which such securities may be lawfully offered and sold and only to persons who make appropriate representations to P3I and the applicable issuer of the securities that they qualify as “accredited investors” within the meaning of applicable securities laws and who are resident in the provinces of British Columbia, Alberta, Saskatchewan, Manitoba and Ontario. Securities may be offered and sold in other jurisdictions of Canada through registered dealers who are authorized to offer and sell securities in such jurisdictions. Securities are sold by way of an offering memorandum and any purchaser or prospective purchaser should make their investment decision based solely on the offering memorandum and the terms and conditions of the subscription agreement, and not based on any other information or statement, whether made orally or in writing, and whether such statement is a historical statement or a forward-looking statement. Forward-looking statements, including estimates, forecasts and projections regarding future performance: (i) reflect various assumptions concerning future industry performance, general business, economic and regulatory conditions, market conditions, which assumptions management of the issuer believes are reasonable but may or may not prove to be correct, (ii) are inherently subject to significant contingencies and uncertainties, many of which are outside the control of the issuer and its management; and (iii) should not be regarded as a representation by the issuer, its management, P3I or any other person that such estimates, forecasts or projections will be achieved. Actual results can be expected to vary and those variations may be material. None of the issuers or its management or any other person makes any expressed or implied representation or warranty as to the accuracy or completeness of the information provided or made available in respect of the issuers (including but not limited to historical performance or projections of future performance). Except as set forth in a definitive written subscription agreement entered into by a purchaser and the issuer of the securities, neither the issuer, P3I or their respective directors, officers or employees nor any other person makes any representations, expressed or implied. A purchaser will be entitled to rely solely on the representations and warranties made by the issuer to the purchaser in a definitive written subscription agreement relating to an investment, when and if executed by the purchaser and accepted by the issuer, and subject to any limitations and restrictions as may be specified in such definitive agreement. No prospective investor may rely upon P3I to conduct any due diligence investigation on behalf of the prospective investor and the prospective investor is responsible for its own due diligence investigation in respect to any investment. P3I is not a legal, tax or accounting expert and, except as may be expressly set forth in an offering memorandum, neither the issuer, P3I nor any other person expresses any opinion concerning any legal, tax or accounting matters or the sufficiency of any disclosure in an offering memorandum for any particular purposes. Prospective investors are advised to obtain independent legal, tax, accounting and investment advice regarding any potential investment. Any financial measures that are non-GAAP financial measures (i.e. measures not specifically defined in the CPA Handbook which do not have any standardized meaning prescribed by International Financial Reporting Standards (IFRS)) are not a substitute for measures provided under GAAP and may not be comparable to similar measures presented by other issuers; however, the issuers and management believes that such non-GAAP measures are useful in assisting investors in understanding components of financial results. Readers are cautioned not to place undue reliance on non-GAAP financial measures.