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>> complaint handling process

COMPLAINTS GENERALLY

The fair and timely handling of client complaints is vital to the overall integrity of the investment industry. Hampton Securities regards the handling of all client complaints as an essential element of the proper servicing of client accounts generally and believes an effective framework for dealing with client complaints is in keeping with appropriate standards of professionalism for the industry.

WHAT CONSTITUTES A COMPLAINT

A "complaint" can be against Hampton Securities Limited (Hampton), the Investment Advisor on the account or any other employee of Hampton.
A complaint is any:

• recorded expression of dissatisfaction alleging misconduct (voice mail, email, fax, letter, scribbled note, etc.) or
• verbal expression of dissatisfaction alleging misconduct.

All orders received will be handled as follows:

A mistake or oversight is not misconduct.

The following are defined as misconduct:

• allegations of breach of confidentiality
• theft, fraud
• misappropriation or misuse of funds or securities
• forgery
• unsuitable investments
• misrepresentation
• unauthorized trading relating to the client's account(s)
• other inappropriate financial dealings with clients
• engaging in securities related activities outside of Hampton.

THE COMPLAINT PROCESS

Direct your Complaint to Compliance
All written complaints of alleged misconduct relating to the handling of the client's account(s) or dealings with Hampton, must be directed by the client or a person authorized on behalf of the client to the "designated complaints officer" (DCO) who is the Chief Compliance Officer at Hampton. If you are unsure if the complaint is about alleged 'misconduct', contact the DCO.

All complaints will be handled by the Compliance department who will conduct a fair and thorough investigation of the complaint.

Hampton will send an acknowledgement letter within 5 days of receipt of the complaint, which includes the following:

• the name, job title, and full contact information of the DCO
• that the client should contact the DCO with any inquiries regarding the complaint
• Hampton's Complaints Handling Summary
• the IIROC complaints brochure and a reference to the statutes of limitations contained therein
• the 90 calendar day timeline to expect a response*
• a request for any information reasonably required to investigate the complaint.

Response Letter

Upon completion of Hampton's investigation into the alleged misconduct, Hampton will provide a response letter accompanied by a copy of the IIROC complaints brochure. *In the event the 90 day limit cannot be met, the client will be advised why and IIROC will be provided a copy of the client letter.

Direct your Complaint to Compliance

Complaints alleging misconduct should be directed to the Designated Complaints Officer / Chief Compliance Officer at Hampton.

Hampton Securities Limited
141 Adelaide Street W., Suite 1800,
Toronto, Ontario M5H 3L5

Phone: (416) 862-7800
Fax: (416) 862-8650
Toll Free: 1-877-225-0229