Client Complaint Procedures

HollisWealth takes client complaints very seriously. At HollisWealth, our goal is to provide every client with a comfortable and financially gainful investment experience. If you have concerns regarding your account(s), HollisWealth has developed the following complaint procedures in order for us to address your concerns in a timely manner:

Step 1 – Submission of your complaint

When submitting a complaint, it is important to include a few key items regarding your account information. We have prepared a list of suggested items to be included in your correspondence as follows:

  • Name of your advisor or name of applicable HollisWealth staff
  • Your account number(s)
  • The details of your complaint and all applicable supporting documentation
  • Your contact information

We request you submit a signed letter to:

Designated Complaints Officer
HollisWealth, Compliance Department
1 Adelaide Street East
7th Floor
Toronto, Ontario
M5C 2V9

1-800-377-0065
Email Address: ComplianceComplaintsHW@scotiabank.com

Step 2 – Acknowledgement of your complaint

Once your complaint has been received, we will release a letter to you acknowledging receipt. The Acknowledgement Letter will provide a summary of our investigation procedures and the name and contact information of the Complaint Officer assigned to investigate your concerns.

Step 3 – Release of our findings

Upon completion of our review, we will release to you a detailed letter of our findings. As required by industry regulators, our response will be released within 90 calendar days after receipt of the complaint. If a delay occurs, we must provide you with a written explanation for the delay and an expected date of completion.

Along with our response, you will also be provided with additional information regarding your options to escalate your concerns further in the event that you are not satisfied with the outcome of this review. This includes the contact information for Scotiabank’s Ombudsman, the Ombudsman for Banking Services and Investments ("OBSI"), the Investment Industry Regulatory Organization of Canada ("IIROC") or the Mutual Funds Dealer Association of Canada ("MFDA") outlining investor complaint information.

For more information on available industry resources, please see the following links:

  • IIROC (for clients of Scotia Capital Inc.– www.iiroc.ca
  • MFDA (for clients of HollisWealth Advisory Services Inc.) – www.mfda.ca
  • OBSI (for all clients) – www.obsi.ca