Complaint Resolution Policy

Aligned Capital Partners Inc. (ACPI) participates in a thorough process when reviewing a complaint. ACPI adheres to required regulatory complaint handling procedures when assessing written or verbal client complaints. ACPI is committed to dealing with verbal and/or written complaints fairly and in a timely manner.

Each new client of ACPI receives a copy of our complaint handling procedures at the time of account opening which is also available on our website at www.alignedcapitalpartners.com.

Due to reasons of confidentiality, ACPI will only correspond with the complainant and/or an individual to whom the complainant has provided ACPI with written signed authorization to share private information. At times, ACPI may request additional information from the complainant when evaluating the complaint.

ACPI has appointed the Chief Compliance Officer (CCO) as the Designated Complaints Officer. Concerns, requests for additional information, and/or documentation in support of a complaint can be submitted to the Designated Complaints Officer at:

Aligned Capital Partners Inc.

Attn: Designated Complaints Officer

1001 Champlain Avenue, Suite 300

Burlington, Ontario, L7L 5Z4

Fax: (905) 634-8021

Email: complaints@alignedcapitalpartners.com

Within 5 business days, complainants will receive an acknowledgement letter. The acknowledgement letter will include the contact information for the Complaints Officer assigned to review and assess the complaint. Included with the acknowledgement letter will be a copy of the IIROC brochures “Making a Complaint: A Guide for Investors” and “How Can I Get My Money Back? A Guide for Investors”; which can also be reviewed at: http://www.iiroc.ca/investors/makingacomplaint/Pages/default.aspx

These brochures provide guidance on statute and/or limitation periods and outline the options available to complainants should they wish to pursue the matter beyond ACPI, which include the Investment Industry Regulatory Organization of Canada (IIROC), the Ombudsman for Banking Services (OBSI), independent arbitration, or legal action.

Within 90 calendar days, complainants will be provided a written substantive response from ACPI; which will include: a summary of the complaint, results of our investigation, subsequent final decision, and additional options available to complainants should they not be satisfied with the firm’s response.

Should ACPI require additional time outside of the 90 calendar day period, ACPI will write to complainants outlining the reasons for the additional time required and a new estimated time of completion.

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