Making a Complaint

As an order-execution only dealer, National Bank Independent Network, a division of National Bank Financial Inc. (“NBIN”), offers a broad range of financial services, such as custodial, administrative, trading and specialized services.

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

It is therefore important to us to ensure that you feel comfortable contacting us whenever you have a complaint concerning any of these services. However, please note that the responsibility for suitability of investments and “know-your-client” (“KYC”) rules rests with your portfolio manager or introducing broker, and not with NBIN. Therefore, in such cases, you must contact your portfolio manager or introducing broker with respect to any complaint about unsuitable investments, non-compliance of KYC rules or the financial performance of your account.

Please feel free to contact us via telephone or mail 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:


NBIN Compliance Department
130 King Street West, Suite 3000
Toronto (ON) M5X 1J9


To allow us to analyze your complaint, please include the following details:

  • Your name, contact information, account number as well as the circumstances and details of your complaint, notably, the date on which the event(s) took place. 
  • All relevant documentation and any elements that might clarify the situation.

We will acknowledge the receipt of your complaint in writing within five (5) business days and we will give you the name and the contact information of the person analyzing your 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 ninety (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.