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Summary of our Complaint Process

At Hillsdale Investment Management Inc., we recognize that trust is the cornerstone of every client relationship. We take your concerns seriously and are dedicated to resolving any issues with professionalism, transparency, and prompt attention.
 

What is a complaint?

A complaint occurs when someone expresses a reproach or dissatisfaction with a product or service we provide, and expects us to respond or take appropriate action. 

Filing a complaint with us

If you experience an issue with a Hillsdale Investment Management service or product, we encourage you to raise the issue as soon as it comes up with your Hillsdale representative. If you are unhappy with the response, you can escalate the matter to our formal complaints process by whichever means of communication is convenient for you:

Email:             compliance@hillsdaleinv.com 

Mail:               1 First Canadian Place
                        100 King Street West, Suite 5900
                        P.O. Box 477
                        Toronto ON M5X 1E4

Phone:           416-913-3900

If you are a resident of Quebec, you may also complete the complaint form from the Autorité des marchés financiers (Français / English) and send it to us.

Please let us know if you require assistance filing your complaint.

Steps in the complaint process

We may follow a simplified process for certain complaints. Under the simplified process, complaints will be handled verbally or in writing by your Hillsdale representative within 20 days.

If we are unable to resolve your complaint within 20 days or if the nature or complexity of your complaint is such that the complaint does not lend itself to the simplified process,  the complaint will be  processed according to the following steps. The time that we take when trying to resolve your complaint under the simplified process will not have any effect on our obligation to provide you with a final written response within 90 days.

1. We will acknowledge and analyze your complaint

We will acknowledge your complaint in writing as soon as possible, within 5 business days of receiving your complaint.

We may ask you to provide clarification or more information to help us resolve your complaint.

2. We will provide you with a final response

We normally provide our final response in writing, within 60 days of receiving a complaint. It will include:

  • A summary of the complaint;
  • The results of our investigation; and
  • Our final response regarding any action that the Firm will or will not take, and any explanation of our response.

If we cannot provide you with our final response within 60 days, we will:

  • Inform you of the delay;
  • Explain why our final response is delayed; and
  • Give you a new date by which to expect our decision (not more than 90 days from the original date of the complaint).

3. Review our final response

Take time to review our response and, if applicable, to assess the adequacy of any action proposed by Hillsdale. The amount of time that we give you to review our offer should provide sufficient opportunity to seek the advice you need to make an informed decision.

Once we reach an agreement with you to resolve your complaint, any action proposed will take place within 30 days, unless we agree upon a different time perios with you when it is in your interest to do so.

4. If you are not satisfied with our final response

If you are a Client resident in a Canadian jurisdiction other than Quebec, you may be eligible for the free independent dispute resolution service offered by the Ombudsman for Banking Services and Investments (“OBSI”). If you are a resident of Quebec, you may consider the free mediation service offered by the Autorité des marchés financiers (the “AMF”). Further information is provided below.

Filing a Complaint with OBSI

If you are not satisfied with the outcome of a complaint or did not receive a final response on time, you can submit your complaint to OBSI. OSBI offers and independent dispute resolution service to our clients. You must contact OBSI within 180 days of receiving our final response.

To file a complaint with OBSI, contact:

Email:             ombudsman@obsi.ca 
Phone:           1-888-451-4519 (toll free) or 416-287-2877
Website:        https://consumerportal.obsi.ca/public/inquiries/inquiry

For more information about OBSI and the complaint process, please visit  www.obsi.ca.
 

Filing a Complaint with the AMF - for Quebec residents

You can contact us to request that the AMF examine your complaint at any time if you are not satisfied with the response we provided or on how your complaint was processed. Please complete the following form (Français / English) and return it to us - we are required to send your complaint record to the AMF no later than 15 days following receipt of your request.

For more information about the AMF complaint process, please visit  https://lautorite.qc.ca/grand-public/assistance-et-plainte (Français) or https://lautorite.qc.ca/en/general-public/assistance-and-complaints (English).