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Complaint Handling Procedures
Life & Wealth Advisory Group Inc. (“JVK”) has procedures in place to handle any written or
verbal complaints received from clients in a fair and prompt manner.
This is a summary of those procedures, which we provide to new clients, clients who have
filed a complaint and that we also make available on our website at
www.jvkgroup.com. We also provide new clients and clients who complain with separate document called the
Client Complaint Information Form (“CCIF”) that provides general information about their
options for making a complaint.
to file a complaint with JVK – Clients wishing to complain to JVK may make their complaint to
our head office. We encourage clients to make their
complaint in writing or by email¹ where possible. Where clients have difficulty putting their
complaint in writing, they should advise us so that we can provide assistance.
For confidentiality reasons, we will only deal with the client or another individual who
has the client’s express written authorization to deal with us.
of Your Complaint - When submitting a complaint to
JVK 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 JVK staff, your account
number(s), the details
of your complaint and all applicable supporting documentation and your contact information.
Complaint Handling Procedure – We will acknowledge receipt of complaints promptly, generally within five days. We review all complaints fairly, taking into account all relevant documents and statements obtained from the client, our records, our financial advisors, other staff members and any other relevant source. Once our review is complete we provide clients with our response, which will be in writing if the complaint was made in writing. Our response may be an offer to resolve your complaint, a denial of the complaint with reasons or another appropriate response. Where the complaint relates to certain serious allegations², our initial acknowledgement will include copies of this summary and the CCIF. Our response will summarize your complaint, our findings and will contain a reminder about your options with the Ombudsman for Banking Services and Investments. We will generally provide our response within ninety days, unless we are waiting for additional information from you, or the case is novel or very complicated. We will respond to communications you send us after the date of our response to the extent necessary to implement a resolution or to address any new issues or information you provide.
– If we offer you a financial settlement, we may ask you to sign a release and waiver for legal
JVK – Clients may contact us at any time to provide further information or to inquire as to the
status of their complaint, by contacting the individual handling their complaint or by contacting
us at: Tel: 905-642-0654 or 800-767-5933
or Email Address: email@example.com
Clients who choose to communicate by email should be aware of
possible confidentiality issues regarding internet communications
² As defined in the Policies of the Mutual Fund Dealers Association of Canada of which JVK Life & Wealth Advisory Group is a Member