Governance
Our values are time-honoured and unwavering. The trust and confidence of our clients is our most valuable asset.
Code of Ethics
Always professional.
ROCKLINC views compliance as a core value. We have adopted the CFA Institute’s Code of Ethics which outlines specific standards of professional conduct.
As a condition of employment, all employees are required to uphold the spirit of this document and confirm their understanding and acceptance of it on an annual basis.
Regulatory Structure
Because we are
independent...
ROCKLINC is primarily regulated by the Ontario Securities Commission in our capacity as a Portfolio Manager (PM), Investment Funds Manager (IFM) and Exempt Market Dealer (EMD) in the provinces and jurisdictions in which we maintain these registrations. The Portfolio Manager registration permits us to manage private client assets on a discretionary basis, subject to relevant securities regulations. This enables us to customize client portfolios to meet their investment goals and objectives. There are a number of other important reasons why our clients entrust us with their wealth.
- All private client assets are held at National Bank Independent Network (NBIN), an indirect, wholly owned subsidiary of National Bank of Canada which is one of Canada’s oldest financial institutions.
- Fiduciary duty to act in the best interests of clients
- Transparency of all holdings and transactions
- Access to investment accounts 24/7
- Access to detailed reporting system
- Investment fees are based on assets under management
these Partners.
Custodians
Auditors
Legal counsel, corporate
Legal counsel, securities
Complaints
Our complaint process
Filing a complaint with us
If you have a complaint about our services or a product, contact us at:
ROCKLINC Investment Partners Inc.
4200 South Service Road Burlington, ON L7L 4X5
Attention:
Jonathan Wellum, President & CEO
jwellum@rocklinc.com
905-631-5462
You may want to consider using a method other than email for sensitive information.
Complaints Process For Quebec Residents
Tell us
- what went wrong
- when it happened
- what you expect, for example, money back, an apology, account correction
We will acknowledge your complaint
We will acknowledge your complaint in writing, as soon as possible, typically within 5 business days of receiving your complaint.
We may ask you to provide clarification or more information to help us resolve your complaint.
Help us resolve your complaint sooner
- Make your complaint as soon as possible.
- Reply promptly if we ask you for more information
- Keep copies of all relevant documents, such as letters, emails and notes of conversations with us.
We will provide our decision
We normally provide our decision in writing, within 90 days of receiving a complaint.
It will include:
- a summary of the complaint
- the results of our investigation
- our decision to make an offer to resolve the complaint or deny it, and an explanation of our decision
If we cannot provide you with our decision within 90 days, we will:
- inform you of the delay
- explain why our decision is delayed, and
- give you a new date for our decision
You may be eligible for the independent dispute resolution service offered by the Ombudsman for Banking Services and Investments (OBSI).
A Word About legal advice
You always have the right to go to a lawyer or seek other ways of resolving your dispute at any time. A lawyer can advise you of your options. There are time limits for taking legal action. Delays could limit your options and legal rights later on.
If you are not satisfied with our decision
If you are a Québec resident
You may consider the free mediation service offered by the Autorité des marchés financiers.
Taking your complaint to OBSI
You may be eligible for OBSI’s free and independent dispute resolution service if:
- we do not provide our decision within 90 days after you made your complaint, or
- you are not satisfied with our decision
OBSI can recommend compensation of up to $350,000.
OBSI’s service is available to clients of our firm. This does not restrict your ability to take a complaint to a dispute resolution service of your choosing at your own expense, or to bring an action in court. Keep in mind there are time limits for taking legal action.
Who can use OBSI
You have the right to use OBSI’s service if:
- your complaint relates to a trading or advising activity of our firm or by one of our representatives
- you brought your complaint to us within 6 years from the time that you first knew, or ought to have known, about the event that caused the complaint, and
- you file your complaint with OBSI according to its time limits below
Time limits apply
- If we do not provide you with our decision within 90 days, you can take your complaint to OBSI any time after the 90-day period has ended.
- If you are not satisfied with our decision, you have up to 180 days after we provide you with our decision to take your complaint to OBSI.
Filing a complaint with OBSI
Contact OBSI Email: ombudsman@obsi.ca Telephone: 1-888-451-4519 or 416-287-2877 in Toronto
OBSI will investigate
OBSI works confidentially and in an informal manner. It is not like going to court, and you do not need a lawyer.
During its investigation, OBSI may interview you and representatives of our firm. We are required to cooperate in OBSI’s investigations.
Information OBSI needs to help you
OBSI can help you best if you promptly provide all relevant information, including:
- your name and contact information
- our firm’s name and contact information
- the names and contact information of any of our representatives who have been involved in your complaint
- details of your complaint
- all relevant documents, including any correspondence and notes of discussions with us
OBSI will provide its recommendations
Once OBSI has completed its investigation, it will provide its recommendations to you and us. OBSI’s recommendations are not binding on you or us.
OBSI can recommend compensation of up to $350,000. If your claim is higher, you will have to agree to that limit on any compensation you seek through OBSI. If you want to recover more than $350,000, you may want to consider another option, such as legal action, to resolve your complaint.
For more information about OBSI, visit www.obsi.ca