Complaints Policy

Nordcrest Capital Inc. (“Nordcrest”) has a Complaints Policy designed to ensure that complaints are handled fairly and in a timely manner. Pursuant to section 168.1.2, paragraph 2 of the Securities Act (Québec), Nordcrest must make a summary of its Complaints Policy publicly available.

A complaint expresses a reproach or dissatisfaction regarding the services or products offered by Nordcrest, along with an expectation that Nordcrest take action to address the issue.

Clients may contact Nordcrest to learn more about how complaints are processed.

How to file a complaint

A complaint may be filed using whichever method is most convenient: by phone, by email, or by mail.

A complaint may also be filed using the complaint form provided by the Autorité des marchés financiers (AMF), available here:
https://lautorite.qc.ca/fileadmin/lautorite/formulaires/grand-public/GP-plainte_formulaire-plainte-an.pdf

Nordcrest can assist filing a complaint, if required.

Steps in the complaint process

Nordcrest will send written acknowledgement of receipt within 10 days of receiving a client complaint.

Nordcrest will ensure that it fully understands the nature of the complaint and the client’s expectations. If necessary, Nordcrest may contact the complainant to request additional information.

Nordcrest will provide a final written response within 60 days. This response will explain how the complaint was analyzed, the reasons supporting Nordcrest’s conclusion, and—where applicable—the proposed solution.

If the complaint requires more time or proves to be more complex than initially anticipated, Nordcrest may determine that additional time is required. Any extension will not exceed 30 days. In such a case, Nordcrest will notify the complainant in writing and explain the circumstances warranting the extension.

Any questions or comments regarding Nordcrest’s final response, may be directed to Nordcrest for clarification.

Once an agreement is reached to resolve a complaint, Nordcrest is required to implement the agreed-upon offer within 30 days, unless both parties agree to a different timeframe that better serves the complainant’s interests.

For each complaint, Nordcrest’s Chief Compliance Officer will create a record containing all information and documents required for processing.

A complainant may request that Nordcrest forward their complaint record to the AMF at any time if they are dissatisfied with Nordcrest’s response or with how the complaint was handled. If such a request is made, Nordcrest will forward the complaint record to the AMF within 15 days.

Contact Information

Complaints may be submitted to:

Nordcrest Capital Inc.
2500-1100 René-Lévesque Boulevard West
Montréal, Québec H3B 5C9