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Complaint Procedure

Summary Of Oakhaven Wealth Advisors Inc. Complaint Handling Procedures:

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

The Client Complaint Information Form

We also provide new clients and clients who complain, with a separate document called
the Client Complaint Information Form (‘CCIF’) that provides general information about
their options for making a complaint.

How to File a Complaint with Oakhaven Wealth Advisors Inc.

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 Approved Person. 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.

Complaint Handling Procedures:

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


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.
4 Cedar Pointe Drive
Unit B1
Barrie ON L4N 5R7

ATTN: Chief Compliance Officer

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.

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