Complaint Handling Process
NIIM Wealth Management services along with its other partners has procedures in place to handle any written or verbal complaints received from clients in a fair and prompt manner. This is a summary of those procedures, which we provide to new clients, clients who have filed a complaint and that we also make available on our website .
Client Complaint Information Form: We also provide new clients and clients who complain about separate information [or “separate documents”] called the Client Complaint Information Form (“CCIF”) that provides general information about their options for making a complaint.
The Client Complaint Information Form
We also provide new clients and clients who complain with separate information (or “separate documents”) called the Client Complaint Information Form (“CCIF”) which provides general information about their options for making a complaint.
How to File a Complaint with NIIM -Wealth Management Services
Clients wishing to complain to NIIM -Wealth Management Services. may make their complaint to our head office by contacting the Complaint Officer by:
- Email to fpereira@keybase.com, 1 or by
- Faxing to 905-709-7022 (Attn: Complaint Officer)
- Mailing to the attention of Complaint Officer
52 Village Centre Court,Unit#102 - Mississauga,ON L4Z1V9
We encourage clients to make their complaint in writing where possible. Where clients have difficulty putting their complaint in writing, they should advise us so that we can provide assistance. 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.
Complaint Handling Procedures
We will acknowledge receipt of complaints promptly, generally within five (5) days. We review all complaints fairly, taking into account all relevant documents and statements obtained from the client, our records, our advisor, other staff members and any other relevant source. Once our review is complete, we provide clients with our response, which will be in writing. Our response may be an offer to resolve your, a denial of the complaint with reasons or another appropriate response. Where the complaint relates to certain serious allegations2, our initial acknowledgement will include copies of this summary and the CCIF. Our response will summarize your complaint, our findings and will contain a reminder about your options with the Ombudsman for Banking Services and Investments. We will generally provide our response within ninety days, unless we are waiting for additional information from you, or the case is novel or very complicated. We will respond to communications you send us after the date of our response to the extent necessary to implement a resolution or to address any new issues or information you provide.
Settlements
If we offer you a financial settlement, we may ask you to sign a release and waiver for legal reasons.
Contacting WIIM-Wealth Management Services
Clients may contact us at any time to provide further information or to inquire as to the status of their complaint, by contacting the individual handling their complaint or by contacting the Complaint Officer.
- Clients who choose to communicate by email should be aware of possible confidentiality issues regarding internet communications.
- As defined in the Policies of the Mutual Fund Dealers Association of Canada of which we and our partners are Member. Start Today
