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Complaints

CLIENT COMPLAINT HANDLING POLICIES AND PROCEDURES

Worldsource will ensure that any complaint received by the Client or a person authorized to act on behalf of the Client will be investigated fairly, thoroughly, and expeditiously. A complaint is defined as:

– A recorded expression of dissatisfaction with Worldsource, or one of its employees or agents alleging misconduct; or

– A verbal expression of dissatisfaction with Worldsource, or one of its employees or agents alleging misconduct where a preliminary investigation indicates that the allegation may have merit.

Alleged misconduct includes, but is not limited to, allegations of breach of confidentiality, theft, fraud, misappropriation or misuse of funds or securities, forgery, unsuitable investments, misrepresentation, unauthorized trading relating to the Account, other inappropriate financial dealings with clients and engaging in securities related activities outside of Worldsource.

Only complaints submitted by the Client or a person authorized to act on behalf of the Client will be reviewed and investigated. Acceptable forms of documentation for establishing a person’s authority to act on behalf of the Client includes a written authorization signed by the Client, or formal legal documents, such as powers of attorney or court appointments.

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