Complaint Procedure

TSX Trust Company ("TSX Trust") cares about the quality of service provided to its clients. If you have a complaint about service received from TSX Trust, we encourage you to follow the complaint procedure outlined below.

Step 1: Initial Contact

If you are a corporate client, the first point of escalation should be the Vice President, Client Management or Vice President, Trust Services. If you are an individual investor or intermediary, complaints should be raised to the Vice President, Operations.

The officers referred to above can all be reached through our switchboard at 416 361-0930. In the unlikely event that these individuals are unable to resolve your complaint proceed to Step 2.

Step 2: Compliance Department

A written summary of your complaint and copies of any prior correspondence with TSX Trust should be forwarded to:

Compliance Department
TSX Trust Company
200 University Avenue, Suite 300
Toronto ON M5H 4H1
complaints@tmx.com

Please be sure to include your name, a telephone number, a mailing address or an e-mail address.

We expect to resolve your complaint within fifteen business days. If you are not satisfied with the response that you receive, proceed to Step 3.

Step 3: Ombudsman

If previous steps do not resolve your concern, you may choose to escalate the matter further to the Ombudsman for Banking Services and Investments, who is independent from TSX Trust, and provides an impartial process of investigation and resolution for clients of financial services providers who are either small businesses or individuals.

If you want the Ombudsman to look at your complaint, you can contact them as follows:

Fill in their Complaint Form and submit it online. https://www.obsi.ca/en/submit-a-complaint

Download their Complaint Form to fax or mail a completed version with additional information or documents. Remember to keep a copy of your correspondence. Do not send originals of your documents.

Their mailing address is:

Ombudsman for Banking Services and Investments
401 Bay Street, Suite 1505
P.O. Box 5
Toronto, ON M5H 2Y4

Their toll-free fax number is 1 888 422-2865

Please note you have up to 180 days after receiving TSX Trust's response to contact them to submit your complaint.

If you have a question, or want more information, please call them toll-free at 1 888 451-4519 or email them at ombudsman@obsi.ca

The Financial Consumer Agency of Canada (FCAC)

FCAC supervises federally regulated financial institutions, including TSX Trust, to ensure that they have a compliant handling process and that they comply with federal consumer protection laws. You can contact the FCAC in writing at:

Financial Consumer Agency of Canada
427 Laurier Avenue West, 6th floor
Ottawa, Ontario K1R 1B9

Telephone: 1 866 461-3222
Web Site: www.fcac-acfc.gc.ca

FCAC will determine whether TSX Trust is in compliance with FCAC requirements, however, please keep in mind that FCAC does not provide redress or compensation and cannot get involved in individual disputes.

The Autorité des marchés financiers (AMF) (Quebec Residents Only)

The Autorité des marchés financiers (AMF) is the body mandated by the government of Quebec to regulate the province's financial markets and provide assistance to consumers of financial products and services. At any time after Step 1 of our Complaint Procedure (but preferably after Step 2), you can ask TSX Trust to send a copy of your complaint file to the AMF by completing a Request for the Transfer of a File form. This form, and other information about the AMF, is available on their website at www.lautorite.qc.ca/index.en.html.

Their mailing address is:

Autorité des marchés financiers
Service du traitement des plaintes et de l'assistance
800 square Victoria, 22e étage
C.P. 246, tour de la Bourse
Montréal (Québec) H4Z 1G3

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