Complaints

PWL CAPITAL’S DESIGNATED COMPLAINTS OFFICER IS FRANCE KINGSBURY, CHIEF LEGAL AND COMPLIANCE OFFICER

Clients wishing to lodge a complaint concerning their PWL Capital Advisor or concerning PWL Capital in general may contact France Kingsbury, Chief Legal and Compliance Officer, via e-mail at the following address:

compliance@pwlcapital.com

PWL Capital’s complaint handling rules:

• Clients who submit a complaint will receive a written letter of acknowledgment within 5 business days via either e-mail or regular mail depending on how the complaint was originally submitted.
• The complainant can request that their name not be mentioned to their advisor.
• PWL’s Designated Complaint Officer will conduct a review of your complaint and investigate as necessary. The complainant will receive a written substantive response within 90 days of the original complaint containing the following:
  – A summary of your complaint
  – The result of PWL’s investigation
  – An explanation of the final decision

Other options available to you should you not be satisfied with our response

If a response cannot be provided within 90 days PWL will advise you of the delay, the reason for the delay and the expected new response time.

Complainants also have the option of contacting PWL’s Regulator, the Canadian Investment Regulatory Organization (CIRO) directly at any time at 1-877-442-4322 or at their website www.ciro.ca.

Clients are encouraged to review the attached CIRO brochure An Investor’s Guide to Making a Complaint for further details concerning their options and rights with regards to the complaint process.