Summary of our complaint handling policy
Filing a complaint regarding our services
We make sure complaints are assigned quickly and processed in a timely manner.
What is a complaint?
A complaint expresses a reproach or dissatisfaction in respect of the services or products we offer and your expectation that we take action to address the complaint.
You may, for example, expect a refund from us or for us to take action to address the situation giving rise to your complaint.
How to file a complaint
You can file a complaint with us in writing using our online complaint form. If you are a resident of Québec, you may also complete the form from the Autorité des marchés financiers (AMF) and mail it to us. Your complaint will be forwarded to the Chief Compliance Officer of our firm who is responsible for complaint examination.
Mail:
Connor, Clark & Lunn Funds Inc.
Attention: Chief Compliance Officer
1400-130 King Street West, P.O. Box 240
Toronto, Ontario M5X 1C8
Steps in the complaint process
We will process your complaint according to the following steps.
1. We acknowledge receipt of your complaint
We will send you an acknowledgement of receipt in writing within 10 days of receipt of your complaint.
2. We analyze the complaint
We will make sure we understand your complaint and what you expect from us. If necessary, we may contact you to request additional information.
3. We provide a written final response
We will provide you with a final response in writing within 60 days of receipt of your complaint. In our response, we will explain how we analyzed your complaint and what led to our response and, if possible, our proposed solution to your complaint.
Extension of the period for providing our final response
Your complaint may take longer to process or be more complex than anticipated, in which case we may determine that additional time, not exceeding an additional 30 days, is required for the analysis of your complaint. We will notify you in writing if an extension is required, indicating the circumstances warranting the extension.
4. Assessment of the offer and resolution of the complaint
Take time to review our response or assess our offer to resolve your complaint. If we present an offer, we will give you time to assess and respond to it. The amount of time we give you should provide you with sufficient opportunity to seek the advice you need to make an informed decision. You can decide to accept or refuse the offer, or you can present a counteroffer.
Once we reach an agreement with you to resolve your complaint, we will give effect to the offer within 30 days unless we agree upon a different time period with you when it is in your interest to do so.
5. (For Québec residents) Examination of the complaint record by the AMF
For each complaint, we create a record in which we keep all the information or documents required for the processing of your complaint.
You can contact us to request to have your complaint record examined by the AMF at any time if you are not satisfied with the response we provided or how your complaint was processed. We are required to send your complaint record to the AMF no later than 15 days following receipt of your request.
Contact information for the AMF is as follows:
Autorité des marchés financiers
Place de la Cité, tour Cominar
2640, boulevard Laurier, bureau 400
Québec (Québec) G1V 5C1
Telephone No.: +1 418-525-0337
Toll-free telephone service: 1-877-525-0337
6. Residents of other Canadian jurisdictions
If you are a resident in a Canadian jurisdiction outside Québec, you may be eligible to use the independent dispute resolution service offered by the Ombudsman for Banking Services and Investments (OBSI). Contact information for the Ombudsman for Banking Services and Investments is as follows:
Ombudsman for Banking Services and Investments
20 Queen Street West, Suite 2400
P.O. Box 8
Toronto, Ontario M5H 3R3
Telephone No.: +1 416-287-2877
Toll-free telephone service: 1-888-451-4519
E-mail: [email protected]
Contact us for more information.
Submit a complaint
Do you wish to file a complaint?
If you wish to file a complaint about our firm or one of our representatives, you may do so using this online form.
- Please fill in all the details in this form. All fields are mandatory and must be completed in order to submit the complaint.
- Notice of collection of personal information. The collection of personal information on this form is necessary for regulatory purposes and to allow us to contact you. The information will be used for the purposes of complaint handling and regulatory compliance only.
- Do not submit any personally identifiable information (except your requested contact information). In particular, do not include any information relating to financial information such as account numbers, credit card numbers, or personal information such as birthdate, social insurance number, driver’s licence number, or passport information.
