Filing a Complaint with Securities

We keep complaints confidential, and all complaints must be in writing. We cannot act on complaints that are made anonymously.

If you have serious concerns about the way your investments have been handled, a company you have invested in, or believe securities law has been breached by a company or individual, you can make a formal complaint to the Prince Edward Island Office of the Superintendent of Securities.

If your concern is with your investment account, financial advisor or investment company, your first attempt to resolve your dispute should be with your financial advisor, the branch manager, or the compliance officer. If the matter relates to a (CIRO) Canadian Investment Regulatory Organization member firm, you may wish to contact the regulatory organization.

If you would like to send a complaint to our office, please include the following information:

• Your contact information
• What your complaint is about
• When the incident took place (dates, times, etc.)
• The steps you have taken during the course of the situation.
• Names and addresses of those involved, and your relationship to the company or individual at the source of the complaint.
• If you have any copies of letters, cancelled cheques, account statements, or other documents that will help explain your complaint and support your statements. You may be asked to provide these hard copy documents at a later date.
• Other relevant information that would be helpful to better understand your concerns.

Send your complaint by letter or email to:

PEI Office of the Superintendent of Securities
P. O. Box 2000
95 Rochford Street
4th Floor, Shaw Building
Charlottetown, PE  C1A 7N8

Phone: 902-368-4550
Email: ccs@gov.pe.ca

While we do not attempt to assist members of the public in reaching a satisfactory resolution to their concerns, we are a regulatory agency and we cannot:

• order that money be refunded or contracts be cancelled
• award damages or costs
• provide any legal advice or recommend a lawyer