Who Can Make a Complaint

Any client of INFOR Financial Inc. (the “Firm”), may submit a complaint. If you are making a complaint on behalf of another party, you must provide proof that that other party has authorized you to act on their behalf.

How to Submit a Complaint

INFOR Financial Inc. prefers that all complaints be made in writing. Complaints may be submitted by mail at the following address:

INFOR Financial Inc.
Compliance Department
200 Bay St., Suite 2350 P.O. Box 74
Toronto, Ontario
M5J 2J2

Or by email to [email protected]

What to Include in Your Complaint

Please include in your complaint the following information:

• Your contact information, such as address, telephone number and email address
• The name of the person you are complaining about, or if it relates to a financing, the name of the security sold to you
• A description of the incident you are complaining about, including date and any relevant details
• A chronology of events leading up to the incident, and any attempts you have made to resolve the problem.

Acknowledgement of Receipt

The Firm will undertake to acknowledge your complaint within 5 business days of its receipt. Included in this acknowledgement will be a summary of the complaint review process and the name and contact information for the Firm’s Designated Complaints Officer (“DCO”).

Complaint Investigation Process

The Firm will undertake to investigate your complaints in a fair and honest manner within 90 days of receipt. In most cases it will take less time than this. The investigation will be conducted by the DCO, Neil Selfe. At the end of the investigation, the DCO will respond to you in writing, summarizing the complaint, the results of our investigation, and will also outline options available to you if you are not satisfied with the Firm’s response.