A complaint could include any of the following:
- A brokerage or consulting activity;
- A breach of the duty of propriety;
- A breach of confidentiality;
- Theft, fraud, misappropriation or counterfeiting;
- False or misleading representation;
- An undisclosed or prohibited conflict of interest;
- Personal financial transactions with a client.
It is our responsibility to respond to your comments effectively and efficiently, and to resolve any complaints about your accounts or your Consulting Representative. In most cases, your Advisory Representative can resolve the complaint. However, if you feel that your complaint cannot be resolved by your Advisory Representative, we invite you to contact our Chief Compliance Officer (CCO) by email at conformité@pratte.ca or directly at
Chief Compliance Officer
Pratte Portfolio Management Inc.
200 Montcalm Street, Suite R-8
Gatineau, Qc
J8Y 3B5
All complaints are treated seriously without regard to the appearance of materiality or potential breach of securities legislation.
It is the responsibility of the Chief Compliance Officer to acknowledge receipt of your complaint within ten (10) days, informing you of the opening of the investigation and confirming that an official response will be communicated to you within ninety (90) days. The acknowledgement will include the contact details of the person handling your complaint, a summary of our complaint handling procedures, the estimated time after which you will receive a substantive response to your complaint, and the alternative measures available should you be dissatisfied with our complaint review findings.
The substantive response letter we will send you will include a summary of your complaint, an explanation of our investigation, our final decision and the options available to you if you are dissatisfied with that decision.
Complaint for a Quebec resident
If you are not satisfied with the handling of your complaint and are a Quebec resident, you may ask us to forward your complaint file to the Autorité des marchés financiers. Please refer to the Autorité des marchés financiers website(www.lautorite.qc.ca) for more information.
Complaint for an Ontario resident
If you are not satisfied with the handling of your complaint and are a resident of Ontario, you may ask us to refer your complaint file to the Ombudsman for Banking Services and Investments (OBSI).
To contact OBSI
Email: ombudsman@obsi.ca
Phone: 1-888-451-4519 or 416-287-2877 in Toronto
Denial of responsibility
The information contained in the Web Site is directed only at, and any securities and financial services being offered are available only to, persons resident and located in Quebec and Ontario.
The information contained in this Web Site is drawn from sources believed to be reliable, but the accuracy and completeness of the information is not guaranteed, nor in providing it does Pratte portfolio management Inc assume any liability. This information is current as of the date appearing on a report within this Site, and Pratte portfolio management Inc assumes no obligation to update the information or advise on further developments relating to these securities. Pratte portfolio management Inc, its affiliated companies and their respective directors, officers and employees and companies with which they are associated may, from time to time, hold the securities mentioned at this Site.
