Submit Complaint

INFORMATION ABOUT THE FP CANADA™ CERTIFICANT YOU ARE COMPLAINING ABOUT

First Name*

Last Name*

Phone No.

Email Address

Mailing Address

YOUR COMPLAINT

Please tell us about your complaint including details of all relevant dates/events*:

What do you hope will happen as a result of your complaint to the Standards Council?

Please list the documents you are attaching

Attachments:

Note: If your supporting documents are voluminous, you may send copies of the relevant additional documents to us by mail (please do not provide original documents, please provide copies) following submission of the complaint.

If you are sending additional documents by mail, please send to FP Canada Standards Council 902 – 375 University Avenue, Toronto, ON M5G 2J5, and note above in the ‘Your Complaint’ section that additional documents will be forwarded by mail.

INFORMATION ABOUT YOU

First Name*

Last Name*

Salutation

Mr. Ms. Mrs. Dr.

Preferred method of contact*

home phone cell phone email mail
If email address is provided, a copy of the complaint filed will be sent to you via email.

Home Phone No.

Cell or other No.

Email Address

Mailing Address

If you are making this complaint on behalf of someone else, please let us know. FP Canada Standards Council requires that person’s name and contact information. In addition, FP Canada Standards Council requires written authorization from that person in order to proceed with our review of the complaint. The Standards Council will contact you, upon receipt of the complaint, to obtain additional authorization.

Name of individual on behalf of whom you are filing this complaint

Relationship to the individual on behalf of whom you are filing this complaint

Contact details for the individual on behalf of whom you are filing this complaint

ADDITIONAL INFORMATION

How did you learn about the Standards Council's Professional Oversight Role? Check all that apply

On FP Canada's website

From the FP Canada Certificant

From the FP Canada Certificant’s firm or employer

Please specify:

From another regulatory or professional body

Please specify:

Other

Please specify:

Who else have you contacted about this matter? Check all that apply

The FP Canada Certificant

The FP Canada Certificant’s firm or employer

Please specify:

Provincial Securities Commission (e.g. OSC, BCSC)

Please specify:

Investment Industry Regulatory Organization of Canada (IIROC)

Mutual Fund Dealers Association of Canada (MFDA)

Provincial Insurance Industry Regulator (e.g. BC Insurance Council, Financial Services Regulatory Authority of Ontario, etc.)

Please specify:

Police

Other

Please specify:

Have you taken legal action? If yes, please provide details.

ACKNOWLEDGEMENT, AUTHORIZATION AND SIGNATURE

I HAVE READ, UNDERSTOOD AND AGREE THAT the FP Canada Standards Council™, will share some or all of the information and documentation received from me and from others during the Initial Review process and the subsequent Investigation (if applicable), with:

The FP Canada Certificant complained about;
Witnesses contacted by the Standards Council during the course of the Initial Review process and during the Investigation (if any) as deemed appropriate by the Standards Council;
Other regulatory bodies; self-regulatory organizations; professional bodies; law enforcement agencies; other credentialing or licensing bodies; and
Entities with whom FP Canada or its Divisions have Information Sharing Agreements.

I UNDERSTAND THAT the Standards Council may not be able to process my complaint without supporting documents and that the Standards Council may require additional information from me, in order to complete its investigation.

By completing and forwarding this Complaint Form to the Standards Council, I HEREBY AUTHORIZE the FP Canada Certificant complained about to release:

Relevant financial information and documentation/information in my client file, to the Standards Council as requested during the course its review or investigation or as otherwise becomes necessary.

I UNDERSTAND AND AGREE THAT the Standards Council will share this Complaint Form which includes my personal information and contact details, with the FP Canada Certificant complained about including documents attached to the Complaint Form.

Signature* (full name)
Signed* (acknowledge by checking box)

Date signed

By checking here, I HEREBY AUTHORIZE the Standards Council to contact the Dealer/Firm with whom the FP Canada Certificant was registered/employed at the time of the alleged misconduct, notify them of this Complaint and share a copy of this Complaint Form including attached documents.

By checking here, I HEREBY AUTHORIZE the Dealer/Firm with whom the FP Canada Certificant was registered/employed by, at the time of the alleged misconduct, to provide copies of documents in the Dealer’s/Firm’s possession with respect to advice and services provided to me during the period of time covered by my complaint, to the Standards Council.

What is this?

FP Canada Standards Council™ Complaint Form