Complaint Resolution ProcedureDoheny Securities Limited has procedures in place to address all verbal and written complaints. The following is a summary of those procedures.
If you have a complaint that you wish to bring to the attention of Doheny Securities Limited please contact the compliance department:
• By mail at: Doheny Securities Limited, Attention: Compliance Department, Suite 702-1661 Portage Avenue, Winnipeg, MB R3J 3T7
• By facsimile at: Doheny Securities Limited, Attention: Compliance Department, (204) 925-1259.
We will attempt to acknowledge the complaint within five (5) business days. Due to confidentiality reasons, we will respond only to the client or someone who the client has specifically authorized us, in writing, to communicate with.
Once notified of a complaint we will conduct a factual investigation and an analysis of the matters specific to the complaint. This will include obtaining a written response from your advisor addressing the specific issues raised in your complaint. We will also obtain documentation such as emails and executed forms relating to the complaint. Additional information may be requested from the client in order to complete the investigation.
We will provide you with a summary of our findings from our investigation within 90 days. If we are unable to respond within 90 days we will notify you in writing with an explanation for the delay and will provide you with our best estimate of the time required to provide you with a response.
If you are not satisfied with the results of the investigation, please contact us in writing advising what issues you feel still need to be addressed. We will respond to your concerns and further attempt to resolve all matters.