Complaint Procedure

 

Client Complaint Information

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Summary Of Oakhaven Wealth Advisors Inc. Complaint Handling Procedures:

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Oakhaven Wealth Advisors Inc. 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.oakhavenwealth.com.

 

How to File a Complaint with Oakhaven Wealth Advisors Inc.

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Clients writing to complain to Oakhaven Wealth Advisors Inc. may make their complaint to our Head Office by contacting the Chief Compliance Officer. You may also contact your Representative. All complaints are forwarded to the Chief Compliance Officer to be handled. We encourage clients to make their complaint in writing or by e-mail where possible. Clients are cautioned that the use of e-mail may give rise to possible confidentiality issues regarding internet communications. 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.

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As an investor, you can make a complaint to CIRO at any time, whether or not you have complained to your firm, and CIRO will review your complaint to determine whether your advisor and/or firm has broken any rules.

Complaint Handling Procedures:

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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 Approved Persons’ files, and any other relevant sources. 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 allegations, our initial acknowledgement will include copies of this summary and the CCIF. Our response will summarize your complaint, and our findings with regard to your complaint.

We will generally provide our response within ninety days, unless we are waiting for additional information from you, or the case is novel or may be 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.

Settlements:

If we offer you a financial settlement, we may ask you to sign a release and waiver for legal reasons. Contacting Oakhaven Wealth Advisors Inc. Clients may contact us at any time to provide further information or to inquire as to the status of their complaint, by contacting the Chief Compliance Officer of Oakhaven Wealth Advisors Inc.

Please direct all complaints to:
Oakhaven Wealth Advisors Inc.

73 Simcoe Street, Suite 307

Toronto, Ontario M5J 1W9

ATTN: Chief Compliance Officer

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The Chief Compliance Officer or its designate will confirm in writing the receipt of such complaint and will provide information about the complaint handling process.

 

CIRO also provides a Brochure that can be found at this link.

 

How to Make a Complaint | Canadian Investment Regulatory Organization

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Third-Party Websites:

 

Oakhaven Wealth Advisors does not make any representation that the information in any linked site is accurate and will not accept any responsibility or liability for any inaccuracies in the information not maintained by them, such as linked sites. Any opinion or advice expressed in a linked site should not be construed as the opinion or advice of Oakhaven Wealth Advisors Inc.

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