The members of Coinsquare Capital Markets Ltd (CCML) take your complaints seriously and are committed to helping resolve your complaint about CCML or the service you’ve received.  

Step 1 – Voice Your Complaint

Should you wish to make a complaint, please raise the issue as soon as it comes up. Contact our Client Success team that will attempt to address your concerns or will forward your complaint to the appropriate team as required.  

If you're not completely satisfied with the response that you have received from our Client Success representatives, you may request that your concerns be escalated to the Compliance team. You can also directly request our Compliance team to review your complaint.

By Email - complianceteam@coinsquare.com

By Mail -

Chief Compliance Officer

Coinsquare Capital Markets Ltd.

110 Cumberland St, Unit 342

Toronto, ON, Canada M5R-3V5

Use the complaint process to tell us about:  

• What went wrong,

• When it happened, and

• What you expect from CCML (e.g., reimbursement, additional information, account to be closed, etc.).

Note that service-related issues about your account are handled by our Client Success team. A complaint which is deemed to be service related involves issues which are not subject to any regulatory rules or policies of any securities or financial services regulatory or self-regulatory organization in any jurisdiction either inside or outside of Canada; or any legislation or law concerning securities or exchange contracts of any jurisdiction either inside or outside of Canada.

Step 2 – Complaint Examination

If your complaint is not a service-related issue or if it includes an allegation of misconduct or wrongdoing on the part of CCML, we are required to review those allegations of misconduct or violation of applicable securities laws on the part of CCML or its employees. Complaints handled by the Compliance team will be handled as follows.

We Will Acknowledge Your Complaint

Within five (5) business days of us receiving your complaint, you will be provided with an acknowledgement email from our Compliance Department confirming:

1. the name, job title and full contact information of the individual at CCML handling the complaint;

2. a statement indicating that you should contact the individual at CCML handling the complaint if you would like to inquire about the status of the complaint or provide CCML with any additional information;

3. an explanation of our internal complaint handling process, including but not limited to the role of the designated complaints officer;

4. a reference to the CIRO brochures mentioned below;

5. the 90-day timeline to provide a substantive response to your complaint; and

6. A statement telling you that CCML may request more information to investigate your complaint.

The CIRO brochures concerning the complaint handling process and investor protection entitled ‘How to Make A Complaint’ and ‘How CIRO protects investors’. These brochures (and additional information) are available on the following pages of the CIRO website:

English versions

French versions

Step 3 – Complaint Resolution

Within ninety (90) calendar days you will be provided with our substantive response to your complaint, or correspondence acknowledging that we require more time or information to complete our review and resolve your complaint.

Our Substantive Response

We will provide our conclusion via the substantive response letter that includes:

1. a summary of your complaint;

2. the result of our investigation;

3. our final decision on the complaint, including an explanation; and

4. a statement describing the options available if you are not satisfied with our response.

Not Satisfied with Our Decision?

If you are not satisfied with our decision, there are different options available to you depending on the province or territory you live in including:

1. arbitration;

2. litigation/civil action;

3. submission of a complaint to CIRO. For more information, visit their website;

4. dispute via the Ombudsman for Banking Services and Investments (OBSI). For more information, visit their website;

5. Québec residents can contact the Autorité des Marchés Financiers (AMF) and file a complaint via the AMF website.

Note that there are time limits with the options mentioned above and delays could hamper your ability to pursue these opportunities.

Have any questions? Please contact us at complianceteam@coinsquare.com.

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