Complaint management and breach of confidentiality ⋆ Financière des professionnels
Financière des professionnels
 
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At Professionals’ Financial, we make every effort to maintain the confidentiality of the information entrusted to us by our clients. We’re there by your side and we have your satisfaction at heart. That’s why you can inform us, at any time, of any dissatisfaction or data breach of which you believe you have been the victim.

Complaints

The complaints handling process at Professionals’ Financial allows clients who allege misconduct in the handling of their account(s) to have recourse to an objective review and investigation service in order to resolve disputes and obtain a response within clearly defined deadlines.

The following , in particular, are considered misconduct: theft, fraud, embezzlement or illicit use of funds or securities, forgery, inappropriate investments, false or misleading information or unauthorized transactions, other unauthorized financial transactions with clients, engaging in a securities-related activity outside the dealer member and an undeclared conflict of interest.

To file a complaint with Professionals’ Financial – Private Management Inc., you are invited to report it to Nicolas Chirat, Privacy Officer, through one of the following channels

  • By email:
    plaintes@fdpgp.ca
  • By telephone:
    514-350 -5050 / 1-888-377-7337
  • By mail:
    Privacy Officer
    2 Complexe Desjardins,
    East Tower, 31st Floor
    P.O. Box 1116
    Montreal QC H5B 1C2

Don’t forget to give us:

  • Your name
  • A description of the nature of your complaint, the prejudice suffered and the corrective action requested
  • The names of the people you talked to
After making a complaint
  • An acknowledgment of receipt will be sent to you within five business days following receipt of the complaint.
  • The person responsible for your file will examine it and conduct an investigation. His/her contact information will be provided to you in the acknowledgment of receipt of the complaint.
  • A detailed response to your complaint will be sent to you by mail as soon as possible and no later than 90 calendar days from the date of receipt of the complaint. This response will include a summary of the complaint, the findings of the investigation and the final decision, along with an explanation.
  • If you are not satisfied with the final response, the list of remedies available to you will be indicated in the IIROC brochures that will be sent to you with the acknowledgment of receipt and the response letter. You can also read the brochure by clicking on the link below or request a copy by contacting the Privacy Officer.
  • If the Compliance Department is unable to send you a detailed response within the 90-day period, it will contact you to inform you of the reasons for this delay and the expected time to complete the file.

 

Other remedies available to you

If you are not satisfied with the review of your complaint by the Compliance Department, other remedies are available to you.

Making a Complaint – A Guide for Investors

The Investment Industry Regulatory Organization of Canada (IIROC) has a brochure entitled Making a Complaint – A Guide for Investors.  Its content was given to you when you opened your account. You can consult this brochure here.

This guide will inform you about the remedies available to you:

  • From IIROC
  • From the Ombudsman for Banking Services and Investments
  • From the AMF’s mediation service for Quebec residents
  • Through arbitration
  • Through legal proceedings

Data breach

A data breach concerns the confidentiality of your personal information. It may relate to a recipient error in the transmission of information, unauthorized disclosure of your information to third parties or any other breach of the confidentiality of your personal data.

Professionals’ Financial makes every effort to maintain the confidentiality of the information entrusted to it by its clients. It is committed to protecting its clients’  personal information and right to privacy. The Privacy Officer has been delegated responsibility for the protection of personal information and our Privacy Policy has been adopted and updated.

If you believe you have been the victim of a security incident relating to personal information provided to Professionals’ Financial, you are invited to report it to Nicolas Chirat, Privacy Officer, through one of the following channels:

  • By email:
    confidentialite@fdpgp.ca
  • By telephone:
    514-350-5050 / 1-888-377-7337
  • My mail:
    Privacy Officer
    2 Complexe Desjardins
    East Tower, 31st Floor, P.O. Box 1116
    Montreal QC H5B 1C2
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