{"id":821,"date":"2018-05-03T15:19:25","date_gmt":"2018-05-03T15:19:25","guid":{"rendered":"http:\/\/wpoffice\/enfold-lawyer\/?page_id=821"},"modified":"2025-08-07T15:26:59","modified_gmt":"2025-08-07T15:26:59","slug":"legal","status":"publish","type":"page","link":"https:\/\/artechfinancial.com\/index.php\/legal\/","title":{"rendered":"Legal"},"content":{"rendered":"\n<style type=\"text\/css\" data-created_by=\"avia_inline_auto\" id=\"style-css-av-145nae-6e5e252382151ee016ca82ad5fa04de3\">\n.avia-section.av-145nae-6e5e252382151ee016ca82ad5fa04de3{\nbackground-repeat:no-repeat;\nbackground-image:url(https:\/\/artechfinancial.com\/wp-content\/uploads\/2018\/05\/hero-skyscraper.jpg);\nbackground-position:50% 50%;\nbackground-attachment:scroll;\n}\n.avia-section.av-145nae-6e5e252382151ee016ca82ad5fa04de3 .av-section-color-overlay{\nopacity:0.6;\nbackground-color:#084a79;\n}\n<\/style>\n<div id='av_section_1'  class='avia-section av-145nae-6e5e252382151ee016ca82ad5fa04de3 main_color avia-section-default avia-no-border-styling  avia-builder-el-0  el_before_av_section  avia-builder-el-first  avia-full-stretch avia-bg-style-scroll av-section-color-overlay-active av-minimum-height av-minimum-height-custom  container_wrap fullsize'  data-section-bg-repeat='stretch' data-av_minimum_height_px='230'><div class=\"av-section-color-overlay-wrap\"><div class=\"av-section-color-overlay\"><\/div><div class='container av-section-cont-open' style='height:230px'><main  role=\"main\" itemprop=\"mainContentOfPage\"  class='template-page content  av-content-full alpha units'><div class='post-entry post-entry-type-page post-entry-821'><div class='entry-content-wrapper clearfix'>\n\n<style type=\"text\/css\" data-created_by=\"avia_inline_auto\" id=\"style-css-av-jgf3pjem-ee2a691ebc0a9a100bc99d372a9c72ca\">\n#top .flex_column.av-jgf3pjem-ee2a691ebc0a9a100bc99d372a9c72ca{\nmargin-top:0px;\nmargin-bottom:0px;\n}\n.flex_column.av-jgf3pjem-ee2a691ebc0a9a100bc99d372a9c72ca{\n-webkit-border-radius:0px 0px 0px 0px;\n-moz-border-radius:0px 0px 0px 0px;\nborder-radius:0px 0px 0px 0px;\n}\n.responsive #top #wrap_all .flex_column.av-jgf3pjem-ee2a691ebc0a9a100bc99d372a9c72ca{\nmargin-top:0px;\nmargin-bottom:0px;\n}\n<\/style>\n<div class='flex_column av-jgf3pjem-ee2a691ebc0a9a100bc99d372a9c72ca av_one_full  avia-builder-el-1  avia-builder-el-no-sibling  first flex_column_div av-animated-generic left-to-right av-zero-column-padding '     ><style type=\"text\/css\" data-created_by=\"avia_inline_auto\" id=\"style-css-av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea\">\n#top .av-special-heading.av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea{\nmargin:0 0 0 0;\npadding-bottom:0px;\ncolor:#ffffff;\nfont-size:5vw;\n}\nbody .av-special-heading.av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea .av-special-heading-tag .heading-char{\nfont-size:25px;\n}\n#top #wrap_all .av-special-heading.av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea .av-special-heading-tag{\nfont-size:5vw;\n}\n.av-special-heading.av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea .special-heading-inner-border{\nborder-color:#ffffff;\n}\n.av-special-heading.av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea .av-subheading{\nfont-size:25px;\n}\n\n@media only screen and (min-width: 480px) and (max-width: 767px){ \n#top #wrap_all .av-special-heading.av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea .av-special-heading-tag{\nfont-size:0.8em;\n}\n}\n\n@media only screen and (max-width: 479px){ \n#top #wrap_all .av-special-heading.av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea .av-special-heading-tag{\nfont-size:0.8em;\n}\n}\n<\/style>\n<div  class='av-special-heading av-jgwcxcei-4f1acc1b9d7e71adcbad92c5680a4fea av-special-heading-h2 custom-color-heading blockquote modern-quote modern-centered  avia-builder-el-2  avia-builder-el-no-sibling  av-inherit-size'><h2 class='av-special-heading-tag'  itemprop=\"headline\"  >Legal<\/h2><div class=\"special-heading-border\"><div class=\"special-heading-inner-border\"><\/div><\/div><\/div><\/div>\n\n<\/div><\/div><\/main><!-- close content main element --><\/div><\/div><\/div><div id='av_section_2'  class='avia-section av-2eg9ay-566492a2aef3428e44904c46ee45789b main_color avia-section-large avia-no-border-styling  avia-builder-el-3  el_after_av_section  el_before_av_section  avia-bg-style-scroll container_wrap fullsize'  ><div class='container av-section-cont-open' ><div class='template-page content  av-content-full alpha units'><div class='post-entry post-entry-type-page post-entry-821'><div class='entry-content-wrapper clearfix'>\n<div class='flex_column av-axr0l-1175432aba01f02ac96feb7de0a30493 av_one_full  avia-builder-el-4  avia-builder-el-no-sibling  first flex_column_div '     ><section  class='av_textblock_section av-6dssa-5122a5f739734ae4443e5ff2b4b321a5'  itemscope=\"itemscope\" itemtype=\"https:\/\/schema.org\/CreativeWork\" ><div class='avia_textblock'  itemprop=\"text\" ><h3><b>SUMMARY OF ARTECH Asset Advisory Services Inc. COMPLAINT HANDLING PROCEDURES<span class=\"Apple-converted-space\">\u00a0<\/span><\/b><\/h3>\n<p>ARTECH Asset Advisory Services Inc. has procedures in place to handle any written or verbal complaints received from clients in a fair and prompt manner. This is a summary of those procedures, which we provide to new clients and clients who have filed a complaint.<\/p>\n<p><b><i>The CIRO Complaints Brochure<span class=\"Apple-converted-space\">\u00a0<\/span><\/i><\/b><\/p>\n<p>A copy of the CIRO Complaints Brochure is provided to clients at account opening.<span class=\"Apple-converted-space\">\u00a0 <\/span>New clients and clients who complain can obtain the CIRO Complaints Brochure from our website at: <a href=\"https:\/\/artechfinancial.com\/wp-content\/uploads\/2025\/07\/CIRO-Complaints-Brochure-EN.pdf\">Artech CIRO Complaints Brochure<\/a> or the CIRO website at: <a href=\"https:\/\/www.ciro.ca\/media\/7616\/download?inline&gt;www.CIRO.ca&lt;\/a&gt;.&lt;span class=\">CIRO Complaints Brochure<\/a><\/p>\n<p><b><i>How to File a Complaint with <\/i>ARTECH Asset Advisory Services Inc.<span class=\"Apple-converted-space\">\u00a0<\/span><\/b><\/p>\n<p><i><span class=\"Apple-converted-space\">\u00a0<\/span><\/i>Clients wishing to complain to ARTECH Asset Advisory Services Inc. may make their complaint to our head office by contacting Blaine St. Arnault, President and Chief Compliance Officer.<span class=\"Apple-converted-space\">\u00a0 <\/span>All complaints are forwarded to qualified compliance or supervisory personnel to be handled. We encourage clients to make their complaint in writing or by email where possible. Where clients have difficulty putting their complaint in writing, they should advise us so that we can provide assistance. For confidentiality reasons, we will only deal with the client or another individual who has the client\u2019s express written authorization to deal with us.<\/p>\n<p><b><i>Complaint Handling Procedures<\/i><\/b><\/p>\n<p>We will acknowledge receipt of complaints promptly, generally within five business days. We review all complaints fairly, taking into account all relevant documents and statements obtained from the client, our records, our representatives, other staff members and any other relevant source. Once our review is complete, we provide clients with our response, which will be in writing if the complaint was made in writing. Our response may be an offer to resolve your complaint, a denial of the complaint with reasons or another appropriate response. Where the complaint relates to certain serious allegations, our initial acknowledgement will include copies of this summary and the CIRO Complaints Brochure. Our response will summarize your complaint, our findings and will contain a reminder about your options with the Ombudsman for Banking Services and Investments (OBSI).<\/p>\n<p>We will generally provide our response within ninety days, unless we are waiting for additional information from you, or the case is novel or very complicated.<\/p>\n<p>We will respond to communications you send us after the date of our response to the extent necessary to implement a resolution or to address any new issues or information you provide.<\/p>\n<p><b><i>Settlements<\/i><\/b><\/p>\n<p>If we offer you a financial settlement, we may ask you to sign a release and waiver for legal reasons.<span class=\"Apple-converted-space\">\u00a0<\/span><\/p>\n<p><b><i>Contacting<\/i> ARTECH Asset Advisory Services Inc.<span class=\"Apple-converted-space\">\u00a0<\/span><\/b><\/p>\n<p>Clients may contact us at any time to provide further information or to inquire as to the status of their complaint, by contacting the individual handling their complaint or by contacting Blaine St. Arnault, President and Chief Compliance Officer at (604) 434-3863.<\/p>\n<p>1 Clients who choose to communicate by email should be aware of possible confidentiality issues regarding internet communications.<span class=\"Apple-converted-space\">\u00a0<\/span><\/p>\n<p>2 As defined in the Policies of the Canadian Investment Regulatory Organization of which ARTECH is a Member.<\/p>\n<\/div><\/section><\/div><\/div><\/div><\/div><!-- close content main div --><\/div><\/div><div id='av_section_3'  class='avia-section av-h5yrx-d0c6e915fc5d4c51ab1cc45ca98c1443 main_color avia-section-large avia-no-border-styling  avia-builder-el-6  el_after_av_section  avia-builder-el-last  avia-bg-style-scroll container_wrap fullsize'  ><div class='container av-section-cont-open' ><div class='template-page content  av-content-full alpha units'><div class='post-entry post-entry-type-page post-entry-821'><div class='entry-content-wrapper clearfix'>\n<div class='flex_column av-93r8t-cc0e1ee0ef5d7d7ea6004e0db66490c0 av_one_full  avia-builder-el-7  avia-builder-el-no-sibling  first flex_column_div '     ><section  class='av_textblock_section av-ldf7z50e-a41fb94c6ed47c9c41aae305d99c1588'  itemscope=\"itemscope\" itemtype=\"https:\/\/schema.org\/CreativeWork\" ><div class='avia_textblock'  itemprop=\"text\" ><p><strong>ARTECH Asset Advisory Services Inc.<br \/>\nPolitically Exposed Foreign Persons Declaration Form<\/strong><\/p>\n<p>Artech and all securities dealers are required by law to obtain and collect information under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act before opening an account.<\/p>\n<p><a href=\"https:\/\/artechfinancial.com\/wp-content\/uploads\/2025\/07\/FRM-010-PEFP-PEDP-HIO-2017-06-15-2.pdf\" target=\"_blank\" rel=\"noopener\">Click here to download the PEFP\/PEP form<\/a><\/p>\n<\/div><\/section><\/div>\n<\/p>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-821","page","type-page","status-publish","hentry"],"_links":{"self":[{"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/pages\/821","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/comments?post=821"}],"version-history":[{"count":15,"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/pages\/821\/revisions"}],"predecessor-version":[{"id":1100,"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/pages\/821\/revisions\/1100"}],"wp:attachment":[{"href":"https:\/\/artechfinancial.com\/index.php\/wp-json\/wp\/v2\/media?parent=821"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}