Complaints management policy

1What is a complaint?

A complaint may concern:

• A complaint against a representative or the firm
• Actual or potential harm suffered by the client
• The request for corrective action

Informal requests to correct problems do not fall under this definition if they are dealt with in the normal course of our business.

2How to file a complaint

Customers can submit their complaint in writing to:

All complaints are recorded in a secure internal register and handled by the person responsible for compliance.

3Our process

1. Acknowledgment of receipt You will receive an acknowledgment within 48 hours containing a description of the complaint, the name of the person responsible and your rights, including referral to the AMF if necessary.
2. Complaint handling A full analysis by the person responsible for compliance, followed by a final written response within 30 days of receiving all necessary information.
3. Transfer to the AMF If you are not satisfied, you can request that your case be transferred to the AMF for dispute resolution.

4Confidentiality and compliance

• Your personal information is protected in accordance with applicable laws.
• Every complaint is recorded and analyzed to ensure the continuous improvement of our services.

5Cabinet commitment

We are committed to :

• To ensure transparent and fair handling of each complaint
• Maintain a complete and secure record
• Offering an external recourse channel via the AMF

For any questions, contact us at jeanfrancois.landry@gestaltfinance.com or consult the AMF at rapportdeplaintes@lautorite.qc.ca.