Forest Gate Group has procedures in place to handle any written or verbal complaint received 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.
Forest Gate Group. (”Forest Gate”) Policy is to request that all complaints be submitted to us in writing. There may be instances where Forest Gate receives a verbal complaint from a client which will warrant the same treatment as a written complaint. However, unless it is impractical or there are other compelling reasons not to, clients will normally be advised that we will require their complaint in writing before we can proceed any further. Written complaints generally provide a clearer and more specific articulation of the concerns being raised to Forest Gate for review or investigation. 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. Forest Gate has appointed its Chief Compliance Officer (CCO) as its Designated Complaints Officer.
Your concern and supporting documents which will be of assistance to us in reviewing your concerns can be submitted by the following methods:
Forest Gate Group
Attn: Designated Complaints Officer
100 Tesma Way, Building B – Unit 6
We acknowledge complaints promptly, generally within 5 business days. Within the acknowledgement, you will be provided the name and contact information of the Complaints & Investigations Officer responsible for handling the complaint as well as a copy of our complaint management procedures.
The Complaints & Investigations Officer will conduct a factual investigation and analysis of the matters specific to the complaint. In order to accomplish this, we will gather information including a written response from your Advisor addressing the issues raised in the complaint, copies of documentation completed and any other documentation which may be available (notes, e-mails). The Complaints & Investigations Officer will review all documentation as well as the comments of both the client and Advisor to assess the merits of the complaint. Additional analysis may be necessary, dependent on the nature of the complaint.
Once the investigation has been completed, a written summary of the investigation which addresses your concerns will be prepared and forwarded you within 90 calendar days. In the event that additional time is required, you will be notified in writing and provided with both an explanation as to why our response has been delayed along with our best estimate of the time required for completion of our response.
If you are dissatisfied with our examination of your complaint or the outcome of the examination, you may respond to our letter indicating the issues which you feel were not addressed. We will respond to communications you send us after our response to the extent necessary to implement a resolution or to address any new issues or information you provide. You may also refer to the Forest Gate complaint management procedure summary which will be included with the response. This summary provides guidance regarding the options available to you should you wish to pursue the matter further and includes guidance on the statutes of limitations.