Complaint Summary Process.

SEI Investments Canada Company (“SEI Canada” or “we”) has policies and procedures to respond to client complaints promptly and in such a manner that remains objective and considers the interests of the client.

Filing a Complaint Regarding Our Services.

We make sure complaints are promptly addressed.

What is a Complaint?

A client complaint expresses a reproach or dissatisfaction in respect to our services and your expectation that we take action to address your complaint.

How to File a Complaint

If you are not satisfied with any aspect of our service, we encourage you to contact your primary contact at SEI Canada. If you are unhappy with the response you receive, you can escalate the matter through our formal complaints process. You can file a complaint with SEI Canada whichever way is most convenient for you — you can find our contact details below. We can help you file your complaint.

If you reside in Québec (“Québec Client”), you may also complete the form from the Autorité des marchés financiers (AMF).

Contact.

Email: CanadaCCO@seic.com

Mail:

SEI Investments Canada Company 
130 King Street West, Suite 2810
Toronto, ON M5X 1E3 Canada
Attention: Chief Compliance Officer

Steps in the SEI Canada Complaint Process.

For certain complaints, we may follow a Simplified Process whereby we try to propose a means of resolving the issue; this Simplified Process is described below. If we are unable to resolve your complaint according to the Simplified Process or if the nature or complexity of your complaint is such that the complaint does not lend itself to such process, then the complaint is processed according to the Standard Process, which is described later in this document.

Simplified Process for Certain Complaints.

We may follow a Simplified Process for complaints that we can resolve to the client’s satisfaction within 20 days. We consider a complaint to be resolved to your satisfaction when you accept our explanation or a proposed resolution.

Under the Simplified Process, complaints may be referred to a relevant member of our team and handled verbally (e.g., in a phone call). However, if we determine that we cannot propose a satisfactory resolution or provide an explanation sufficient to resolve your complaint under this Simplified Process, we will notify you in writing. Your complaint will continue to be processed in accordance with the Standard Process.

The time that we take when trying to resolve your complaint under the Simplified Process does not affect our obligation to provide you with our written final response within the required time-period of 90 days (60 days for Québec Clients with an additional 30 days if an extension is required).

Standard Process for All Other Complaints.

• We acknowledge receipt of your complaint
  We will send you an acknowledgement of receipt in writing within 5 business days (for Québec Clients within 10 days) of receiving your complaint.
• We analyze the complaint
  We will make sure we understand your complaint and what you are asking from us. If necessary, we will contact you to request additional information.
• We provide a written final response 
  We will provide you with a final response in writing within 90 days. If you are a Québec Client, we will provide you with a final response in writing within 60 days. In our response, we will explain how we analyzed your complaint, what led to our response and, if possible, the proposed resolution to your complaint.

Please contact us if you have any questions or comments regarding our response.

Extension period for providing final responses to Québec Clients.

For Québec Clients, a complaint may take longer to process or be more complex than anticipated; in such cases, we may determine that additional time than the initial 60 days is required for the analysis of your complaint. The additional time will not exceed 30 days and we will notify you in writing, indicating the circumstances warranting the extension.

• Assessment of the response and resolution of the complaint
  
  Please take the time necessary to review our response and assess our resolution of your complaint. If we present an offer, we will give you time to assess and respond to it. The amount of time we give you should provide you with sufficient opportunity to seek any advice you may need to make an informed decision. You can decide to accept or refuse the resolution, or you can present an alternative.

  Once we reach an agreement with you to resolve your complaint, we will fulfill the resolution within 30 days unless we mutually agree upon a different period of time. For each complaint, we create a record where we will keep all relevant information and documents.

• AMF examination of complaint record for Québec Clients
  
  If you are a Québec Client and you are not satisfied with the response we provided or how your complaint was processed, you can contact us at any time to request to have your complaint record examined by the AMF. Following the receipt of your request, we will send your complaint record to the AMF within 15 days.

  Contact information for the AMF is as follows:

  Autorité des marchés financiers 
  Place de la Cité, tour Cominar 
  2640, boulevard Laurier, bureau 400 
  Québec (Québec) G1V 5C1 

  Telephone No.: +1 418-525-0337 
  Toll-free telephone service: 1-877-525-0337

• Residents of other Canadian jurisdictions

  If you are a resident in a Canadian jurisdiction outside Québec, you may be eligible to use the independent dispute resolution service offered by the Ombudsman for Banking Services and Investments (OBSI). Contact information for the Ombudsman for Banking Services and Investments is as follows:

  Ombudsman for Banking Services and Investments
  20 Queen Street West, Suite 2400
  P.O. Box 8
  Toronto, Ontario M5H 3R3
  Telephone No.: +1 416-287-2877
  Toll-free telephone service: 1-888-451-4519
  E-mail: ombudsman@obsi.ca