HUB Capital Inc. (“HCI”) has updated our Complaint Handling Procedures (“CHP”) document. All mutual fund representatives must begin using the updated version effective immediately for delivery to all new clients as part of the account opening and client onboarding process.

This form is in addition to the CIRO “How to Make a Complaint” Brochure.

Additionally, a Quebec-specific version of the form has been created to meet AMF requirements. This version must be used only for clients who reside in the province of Quebec.

Action Required

Effective immediately:

  • All new clients must receive the updated Complaint Handling Procedures form as part of the account opening process.
  • Representatives must integrate the updated Complaint Handling Procedures Form into their current account opening package. For instructions, please refer to Compliance Bulletin #2025-01 CIRO Client Complaint Brochure Delivery Requirement for New Clients or click here.
  • Use the Quebec-specific version of the CHP form only for Quebec-resident clients.
  • Ensure your team and support staff are aware of these updates and are using the correct version of the HCI account opening package.
  • Note: the updated CHP and Quebec-only version of the CHP (in both English and French) will be uploaded to AGORA and both forms will become part of the account opening package.

New Clients who opened accounts with HUB Capital Inc. from January 1, 2025:

  • New clients who opened accounts with HUB Capital after January 1, 2025, may not have received the updated CHP.
  • Clients who have chosen to receive statements via e-delivery – HUB Capital will upload a copy of the procedures form to the Client Portal. Representatives will be provided with a list of clients who will receive an electronic copy.
  • For clients who receive paper statements – Representatives must deliver a copy of the updated CHP form only to the client via email. HUB Capital will provide the applicable representatives with a list of impacted clients. Representatives must keep confirmation of delivery of the CHP form in their client notes in each client file.

Access the Forms

• 🔗 Standard Complaint Handling Procedures Form (All Provinces Except Quebec)

• 🔗 Quebec Client Complaint Handling Procedures Form

Reminders

  • These forms are required under regulatory obligations and are part of our commitment to transparency and effective complaint resolution.
  • Ensure all documentation is retained in the client file as per standard procedures.
  • Do not use outdated versions of your account opening forms. The applicable version that includes the Complaint Handling Procedures form and the CIRO “How to Make a Complaint” Brochure must now be used at account opening.

If you have any questions or require clarification, please contact your Regional Compliance Officer.