Dispute Handling Procedure
If you have a concern or complaint related to your account(s) or about any trading or advising activity involving Avenue Investment Management Inc. (Avenue), your Portfolio Manager or another representative of Avenue, we would like to hear from you.
1. Contact our Chief Compliance Officer as early as possible and submit your complaint to:
Avenue Investment Management Inc.
ATTN: Chief Compliance Officer
47 Colborne Street, Suite 300
Toronto, Ontario M5E 1P8
Email: pgardner@avenueinvestment.com
Complaints received in writing will be acknowledged in writing within five business days of receipt.
2. IMPORTANT: In most cases, a written response will be provided within 90 days of receiving your complaint. For resident of Québec, the response will be provided within 60 days. The response will outline the results of our investigation and any corrective actions, if applicable.
3. If you are not satisfied with our final response, or if we have not responded within 90 days, you may contact the Ombudsman for Banking and Investment Services (OBSI), a free, independent service that helps resolve disputes between participating firms and their clients.
Ombudsman for Banking Services and Investments
20 Queen Street West, Suite 2400
P.O. Box 8
Toronto, ON M5H 3R3
Phone: 1-888-451-4519
Email: ombudsman@obsi.ca
NOTE: OBSI’s recommendations are not binding on either party. OBSI can recommend compensation of up to $350,000. Please visit www.obsi.ca for more information.
If you live in the province of Québec and are not satisfied with our response, you may request for us to refer your complaint to the Autorité des marchés financiers (AMF) for them to examine and address the matter.
Autorité des marchés financiers
Place de la Cité, tour PwC
2640, boulevard Laurier, bureau 400
Québec, QC G1V 5C1
1-418-525-0337
www.lautorite.qc.ca
Contact us
If you have any questions with respect to our Dispute Handling Procedure and Disclosure, please contact our CCO at:
Avenue Investment Management Inc.
ATTN: Chief Compliance Officer
47 Colborne Street, Suite 300
Toronto, Ontario M5E 1P8
Email: pgardner@avenueinvestment.com
Phone: 1-888-482-2007