Making a Complaint

As an order execution-only dealer, NBIN offers access to a broad range of investment services in addition to our core custodial services. It is therefore important to us to ensure that you feel comfortable contacting us whenever you have a question or comment concerning any of these services. However, since your account is managed on a discretionary basis by a registered Portfolio Manager, the responsibility for suitability of investments rests entirely with them, and not with NBIN. Therefore, in such cases, you must contact your Portfolio Manager with respect to any complaint about unsuitable investments or the financial performance of your account.

Of course we welcome feedback about all of your experiences concerning your relationship with us, but should you have an unfavourable experience, we value the opportunity to improve our services offered. Your business and ongoing relationship with NBIN are very important to us and the satisfaction of our clientele is very high on our list of priorities.

Please feel free to contact us via mail or email with your questions or comments. We invite you to speak to NBIN Compliance or to submit the details of your complaint in writing at the following address:


National Bank Independent Network
Compliance Department
130 King Street West
Suite 3000, PO Box 21
Toronto (Ontario) M5X 1J9


In order to allow us to analyze your complaint, please include the following details when you contact us:

  • Your name, contact information, and account number as well as the particular circumstances and details of your complaint, notably, the date on which the event took place.
  • All relevant documentation, including details of meetings and/or discussions following those meetings that might clarify the situation.

We will acknowledge the receipt of your complaint in writing within 5 business days, giving you the name and contact information of the person analyzing the complaint. Should you have any questions concerning the progress of your file, we invite you to contact this person directly. Rest assured that we will do our utmost to settle your complaint fairly and quickly.

We will contact you in writing at the latest 90 days after our investigation begins detailing the results and conclusions of our inquiry as well as the options available to you if the problem has not been resolved to your satisfaction.