Complaint Handling Process

Bloom Burton has a responsibility to ensure that each complaint is acknowledged and resolved on a timely basis. Complaints also give Bloom Burton the opportunity to review its procedures and highlight any problems that should be addressed. Complaints may be received either verbally or in writing. Complaints by a client may be submitted by the client or by a person acting on behalf of the client provided that written authorization has been provided by the client. We are required to report regulatory complaints to the Investment Industry Regulatory Organization of Canada (IIROC).

If you have a complaint or concerns about our products, services, or one of our personnel, we invite you to follow the two steps below:

You may address your concerns to the firm’s Designated Complaints Officer. The role of the Designated Complaints Officer is to ensure your concerns are treated with due regard and fairness, and that complaints are thoroughly examined in accordance with Bloom Burton’s policies. The Designated Complaints Officer will also act as a liaison between you and the firm to resolve the matter.

Complaints should be submitted in writing to:

Sonia Yung
General Counsel and Chief Compliance Officer
Bloom Burton & Co.
65 Front Street East, Suite 300
Toronto, Ontario M5E 1B5
syung@bloomburton.com
(416) 640-7575

  Submitting a Complaint

  • When submitting a complaint, please include the following information:
  • Client name and address
  • The name of the person(s) involved in the dispute
  • The contact person’s name, telephone number and email address
  • A detailed summary of the complaint

  Acknowledgement of the Complaint

Bloom Burton will strive to acknowledge your complaint in writing by responding to you within five (5) business days or our receipt of your communication.

  Complaint Process

In the process of investigating the complaint, the Designated Complaints Officer will ensure that the client has an opportunity to present his/her comments and documentation. The Designated Complaints Officer will investigate the complaint in a fair and thorough manner by reviewing all relevant documentation. The investigation may utilize internal resources such as legal or operations as necessary. The Designated Complaints Officer will review the issue(s) with the registered representative, affected parties and appropriate supervisory personnel; and may rely on documentation along with external factors to determine an appropriate resolution.

Upon completion of our review into your dispute, Bloom Burton will provide you with a substantive response within 90 days from receipt of your complaint. If we are unable to provide you with a substantive response within the allotted time, we will provide you with written notice explaining the reason for the delay and the new estimated time of completion.