Resolving your Complaints

At 3i Financial, one of our organizational goals is service excellence.  As a leading financial services broker, we take great pride in providing our clients with objective unbiased advice enabling them to achieve their financial goals.  We value your business and we are dedicated to building long-term relationships with you.

We value your feedback because that is what helps us to better meet your needs.  If you would like to provide us with a compliment, constructive feedback, or to lodge a complaint, we encourage you to follow the procedures listed below so that we can work to resolve your issue in a timely manner.

For full details on the complaint process, please download this PDF document.

Contact our 3i Investment Services Inc. Head Office

Member firms are responsible to you, the investor, for monitoring the actions of their representatives to ensure that they are in compliance with by-laws, rules and policies governing their activities. Please contact our Head Office by calling 905-597-5000 and ask to speak to the Customer Relations Manager.  Alternatively, if you prefer, you can mail, fax, or email it to the attention of the Customer Relations Manager.

  • Mail in attention to Customer Relations Manager to 9040 Leslie Street, Suite 221, Richmond Hill, ON L4B 3M4
  • By Fax: (905) 597-8366
  • By e-mailcustomerrelations@3ifinancial.com

Please include your full name, address, telephone number, the best time to reach you, and explain clearly all the details.  The Customer Relations Manager will investigate the matter and will respond back to you in a timely manner.

Contact the Mutual Fund Dealers Association of Canada (MFDA)

MFDA is a self-regulatory organization in Canada to which your Mutual Fund Dealer belongs. The MFDA investigates complaints about Mutual Fund Dealers and their representatives and takes enforcement action where appropriate. You may make a complaint to the MFDA at any time, whether or not you have complained to your Mutual Fund Dealer. The MFDA can be contacted:

  • By completing the on-line complaint form at www.mfda.ca
  • By telephone in Toronto at (416) 361-6332 or toll free at 1-888-466-6332
  • By e-mail at complaints@mfda.ca
  • In writing by mail to 121 King Street West, Suite 1000, Toronto, ON M5H 3T9 or by fax at (416) 361-9073

https://mfda.ca/

Contact the Office of the Ombudsman for Banking Services and Investments (OBSI)

OBSI provides an independent and impartial process for the investigation and resolution of complaints about the provision of financial services to clients. OBSI can make a non-binding recommendation that your firm compensate you (up to $350,000) if it determines that you have been treated unfairly, taking into account the criteria of good financial services and business practice, relevant codes of practice or conduct, industry regulation and the law. The OBSI process is free of charge and is confidential. OBSI can be contacted:

  • By telephone in Toronto at (416) 287-2877, or toll free at 1-888-451-4519
  • By e-mail at ombudsman@obsi.ca

https://www.obsi.ca/

Additional Information:

3i Financial Group Inc. is regulated by the Financial Services Regulatory Authority of Ontario (FSRAO) for insurance products. 3i Financial Investment Services Inc. is regulated by the Mutual Fund Dealers Association of Canada (MFDA) for mutual fund products. 3i Financial is a participating firm with the Ombudsman for Banking Services and Investments (OBSI).

*Clients who choose to communicate by e-mail should be aware of possible confidentiality issues regarding internet communications.

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