On receipt of the complaint, the complaints officer must send a letter containing an acknowledgment of receipt and a notice to the complainant within 3 business days.
The acknowledgment of receipt must contain:
- The name of the complaints officer.
- How long the complainant can expect it will take to process the complaint.
- The notice to the complainant.
Notice to the complainant. The purpose of this notice is to inform the complainant of the following:
- If the complainant is not satisfied with the final position obtained or the way the complaint has been handled, the complainant may, at any time, ask you to transfer the complaint record to the AMF.
- Following the transfer, the AMF will examine the record and will, if it deems it appropriate, offer dispute resolution services.
- For the complainant, the transfer of the complaint to the AMF does not interrupt the prescription period for civil remedies.
Creation of The Complaint File
Rhodes & Williams must create and maintain a separate record for each complaint. A record must be created for each complaint and include all documents relating to the complaint. This record will be the one sent to the AMF, at the complainant’s request.The record must contain:
- The complaint and all documents sent by the complainant.
- Our analysis of the complaint.
- Any information related to the complaint.
- Our written final response with the reasons for that response.
The Complaint Examination
Upon receiving the complaint, we will initiate Rhodes & Williams’ complaint examination process. The complaint will be examined within 10 business days of Rhodes & Williams receiving all the information necessary for the examination.After examining the complaint, the complaints officer must send the complainant a final response with justifying reasons for that response.
Transferring a Complaint Record to the AMF
A complainant who is not satisfied with the business’s final position or the way the complaint has been handled may request that you transfer the record to the AMF. Rhodes & Williams must agree to any request by a complainant to have the complaint record transferred to the AMF.
- The transferred record must contain all the documents related to the complaint.
- The complainant can make the request using the Form to Request the Transfer of a File to the AMF.
- Rhodes & Williams is responsible for complying with the rules governing the protection of personal information.
- The AMF will examine the record and, if necessary, ask you for more information or documents.
- After examining the record, the AMF will, if it deems it appropriate, offer its dispute resolution services.
Complaint Reporting Obligation
The complaints officer must create and maintain a register of all complaints received. This register can facilitate submission of the complaint report to the AMF.
During the annual reporting period (March 1 to May 1), Rhodes & Williams must report all complaints received between January 1 and December 31 of the previous year.
In addition to the above, Rhodes & Williams will ensure that all employees that may receive complaints from a Quebec client are trained in complaint identification to a level appropriate to their position and role with the organization and are aware of the above procedure.
Documentation and Tools
For further information, please refer to the following: