ATB Securities Inc. (“ATB Capital Markets”) regards the handling of any client complaint as an important aspect of providing client service and we have written policies and procedures to ensure that complaints are appropriately dealt with in a prompt fashion. While we are always willing to discuss minor service-related and administrative concerns that you might have, we encourage you to put your concerns related to misconduct in writing to the attention of the ATB Capital Markets Designated Complaints Officer and ATB Capital Markets Chief Compliance Officer below.
ATB Capital Markets Designated Complaints Officer and Institutional Chief Compliance Officer
Suite 410, 585 8 Avenue SW
Calgary AB, T2P 1G1
(403) 539-8600
Retail client complaints are to be directed to the ATB Wealth Designated Complaints Officer and ATB Wealth Chief Compliance Officer at www.atb.com/wealth/contact-us.
Generally concerns related to misconduct would pertain to matters such as:
- Breach of confidentiality;
- Theft;
- Fraud;
- Misappropriation or misuse of funds or securities;
- Forgery;
- Unsuitable investments;
- Misrepresentation;
- Unauthorized trading;
- Securities activities outside of ATB Capital Markets.
ATB Capital Markets investigation will include providing a written copy of the complaint to all our employees associated with the issues and will require a written response from them. Our written response will include a summary of the complaint; the results of our investigation, our final decision on the complaint including our rationale for the decision, and an outline of options available to you if you are not satisfied with our response. These options include arbitration available through the Canadian Investment Regulatory Organization, filing a complaint with the ombudsperson of financial service and investments, litigation/civil action and any other applicable options available.
