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Complaint Handling Policy

Revised in Laval, March 2, 2026
Pivot Capital – KPV Agency
Address: 1833 boul. Pie IX, Montréal, QC, H1V 2C7 (hereinafter “the Company”).

1. Objectives

The purpose of this policy is to define the procedures and principles for handling complaints received by Pivot Capital, in accordance with the guidelines of the Autorité des marchés financiers (AMF).

It aims to ensure that all complaints are handled in a confidential, fair, free, and transparent manner.

2. Definition of a Complaint

For the purposes of this policy, a complaint is defined as:

  • A grievance made against a registrant;

  • The reporting of actual or potential harm suffered or that may be suffered by a consumer;

  • A request for corrective action to remedy a situation.

The following does not constitute a complaint:
Any informal action taken to resolve a specific issue, provided that the issue is handled within the registrant’s regular activities and the consumer has not formally filed a complaint.

3. Principles for Handling Complaints

Pivot Capital is committed to handling all complaints:

  • Confidentially;

  • Free of charge;

  • Fairly.

4. Handling Process

  • Receipt and Acknowledgment: An acknowledgment of receipt is sent to the complainant.

  • Disclosure and Communication: Required disclosures provided at the complainant’s request; file transmitted to the AMF if requested.

  • Evaluation and Corrective Measures: Actions are documented and a handling report is prepared.

  • Reporting to the AMF: Preparation and submission of the report in accordance with regulatory requirements.

5. Complaint Register (Example)

Pink Poppy Flowers

6. Retention and Documentation

All records are kept in a secure and confidential register.

7. Contact Information to File a Complaint

7.1 With the Company:

Email: admin@pivotcap.ca
Mailing Address: 1833 boul. Pie IX, Montréal, Québec, Canada, H1V 2C7
Office Phone: 514-554-8995

​

7.2 With the AMF:

Email: info@lautorite.qc.ca
Website: https://lautorite.qc.ca
Phone: 1-877-525-0337
Mailing Address:
Autorité des marchés financiers
800, square Victoria, P.O. Box 246
Montréal (Québec) H4Z 1G3

8. Publication and Communication

This policy is published on the company’s website and communicated to employees and contractors.

9. Review and Updates

This policy is reviewed periodically, and any modifications are documented and made known to the public and employees.

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