How to Make a Complaint

• Clearly define the complaint.

• Make a chronological list of the events that may have led to the complaint.

• Include a list of all the individuals/ companies, accounts and securities etc. involved, the name of the person you dealt with, key dates and the circumstances surrounding the issue.

• Keep a log of correspondence to and from the company or individual, and with the ECSRC. The log should include telephone conversations, e-mails and faxes. Keep a log of the times and dates of phone calls, whom you spoke with and what was discussed. Communicate in writing as much as possible and keep copies of all correspondence.

• Compile a file of any documents that would support your complaint. Include copies of application forms, statements, transaction confirmations, cancelled cheques, agreements, certificates and all relevant correspondence to and from the firm. Do not mail the originals of any documents to the ECSRC.

• Record everything that occurs during the complaint process.