R.J. O'Brien & Associates Canada Inc. ("RJO Canada") has created an internal process for documenting, handling and resolving complaints in an efficient and expedient manner.
The fair and timely handling of client complaints is vital to the overall integrity of the investment industry. RJO Canada regards the handling of all client complaints as an essential element of the proper servicing of client accounts generally, and believes an effective framework for dealing with client complaints is in keeping with appropriate standards of professionalism for the industry.
The following are defined as misconduct:
Note that a mistake or oversight is not misconduct. In the unlikely situation that you have a complaint, RJO Canada encourages you to follow the steps outlined here.
In many instances complaints may be simple misunderstandings and may be resolved quickly, over the telephone or in person. As a first step, please contact your Account Executive if you have questions or concerns about a particular issue.
If the problem you have is not solved to your satisfaction after completing Step 1, please detail your complaint in writing and send it to us. Copies of your correspondence should be sent to your Account Executive, to the Branch Manager of the office where your Account Executive works and to:Attention: Lora Miller
Once we have your complaint in writing it will be handled in accordance with our complaint process. Within 5 business days of our receipt of your complaint you will receive an acknowledgement of your complaint from the Designated Complaints Officer with a description of next steps to be taken by us as well as other information such as a designated contact person, complaint reference number, the protocol you should follow once you have sent your complaint to us and the timelines which we follow in order to process your complaint in a timely manner. The entire process should take no longer than 90 days before you are in receipt of a substantive response letter from the Designated Complaints officer, which will including the following information;
If, following Step 2, your complaint has not been resolved to your satisfaction there are other options available to you (IIROC Enforcement, Ombudsman for Banking Services, (“OBSI”), and Arbitration). OBSI will consider a client complaint at the earlier of:
© 2018 R.J. O'Brien & Associates Canada Inc
Futures trading involves substantial risk, may result in serious financial loss, and is not suitable for everyone. Any trading decisions that you may make are solely your responsibility, and none of the content on this site should be taken as a personal recommendation or substitute for your own judgment. R.J. O’ Brien & Associates Canada only conducts business in jurisdictions where registered or where an exemption or exclusion from such registration exists.
The following notices apply to the use of the R.J. O'Brien & Associates Canada Inc. (“RJOC”) website. The Information on this website is provided for informational purposes only. No part of the website should be taken to constitute an offer or solicitation to buy or sell any particular product or service unless otherwise stated. All products and service offerings are restricted to registered jurisdictions of R.J. O'Brien & Associates Canada Inc.
The website may contain links to other websites. These links are provided as references to help you identify and locate other Internet resources that may be of interest. These other websites are independently developed by parties other than RJOC, and RJOC does not assume responsibility for the accuracy or appropriateness of the information contained at, nor endorse the viewpoints expressed at, such websites.
While the information on our website is believed to be accurate at the time it is posted, RJOC cannot give any assurance that such information is accurate, complete or current at all times. This information is subject to change without notice, and as such, RJOC will not be held liable for inaccuracies in the information presented.