What we need in order to initiate an investigation:
1.) A description of the issue;
2.) The names and titles, if applicable, of the people involved in the incident.You may exclude your name if you wish to remain anonymous, but we will be unable to follow-up with you as to the resolution in this event;
3.) Details of the incident that prompted your concern and report;
4.) Any supporting documentation you have may be directed to our Compliance Officer via regular mail at our main address. You may also send such supporting documentation via e-mail as described further on this page.
What you can expect next:
If you do not indicate a desire to remain anonymous, our Compliance Officer will be in touch with a file tracking number as soon as the investigation and review have begun. You will receive a letter describing the results and intended corrective actions, if any, when the review is concluded.
At any point in the process you may contact our Compliance Officer with any questions or concerns.