State Farm Investor Services (Canada) Co. (SFISCC)Complaint Handling Process

SFISCC has written policies and procedures to ensure that client complaints are dealt with promptly and fairly.  SFISCC has a duty to engage in an adequate and reasonable assessment of all complaints.

Definition

A complaint shall be deemed to include any written or verbal statement of grievance, including electronic communications from a client, former client, or any person who is acting on behalf of a client and has written authorization to so act, or of a prospective client who has dealt with SFISCC or a Salesperson, alleging a grievance involving SFISCC, Salesperson, or former Salesperson, if the grievance involves matters that occurred while the Salesperson was a Salesperson of SFISCC.

Submission of a Complaint

Complaints should be submitted to your Salesperson or to SFISCC’s Chief Compliance Officer at:

SFISCC Chief Compliance Officer
333 First Commerce Drive
Aurora, ON L4G 8A4

SFISCC Complaint Handling

SFISCC procedures for handling complaints are summarized below:

1. Complaints are forwarded to SFISCC’s Head Office.
2. Complaints are assigned to the Compliance Department or other qualified staff for review.
3. An initial review is conducted to determine the nature of the complaint and determine if regulatory reporting is required.
4. An initial response is provided to the complainant within 5 days of receiving the complaint.
5. A substantive review of the complaint is conducted.  The substantive review may include the following (or a combination thereof):  a statement from the Salesperson (SP); interview of the SP, SP staff and other parties involved; review of customer files and other relevant documentation; review of SP compliance history; and review of business practices at the SP’s location.  
6. A substantive response is provided to the complainant within 3 months of receipt of the complaint.  The time period for a substantive response may vary, however, depending on the complexity of the matter.

Mutual Funds are not insurance products and are distributed through representatives of State Farm Investor Services (Canada) Co. State Farm Investor Services (Canada) Co. is a separate legal entity from State Farm Mutual Automobile Insurance Company, or any of its insurance affiliates.

Neither State Farm nor its agents provide tax or legal advice. Please consult a tax or legal advisor for advice regarding your personal circumstances.

State Farm Investor Services (Canada) Co. Aurora, Ontario