Global Securities – Complaint Procedures

Global Securities Corporation ("Global") through their Designated Complaints Officer ("DCO") will address client complaints of misconduct fairly and on a timely basis. It is preferred that all complaints be in writing.

Complaints should be directed to the Compliance Department located at the head office of Global as follows.

• Immediately upon receipt of a complaint our Compliance Department will begin the process to determine if the complaint has any merit;
• Global undertakes to acknowledge a complaint within five (5) business days of receipt; and
• Global will provide a substantive response within Ninety (90) calendar days or our reasons why it is not available.

Our DCO may be contacted at our head office as noted above. The DCO should generally only be contacted when a complaint has been submitted and the client wishes to express concerns with the handling of the complaint.