# Handling Complaints & Investigations Every real estate professional must be prepared to both respond to and address complaints—whether from clients, the public, or RECO itself. This section provides a structured approach for managing complaints professionally, ensuring timely responses, and protecting both the agent and the brokerage. # Responding to a Complaint (RECO, Public, or Internal) **Applies To:** Sales Representatives, Brokers, Broker of Record, and Managers **Purpose:** To ensure that complaints received are addressed professionally, promptly, and in accordance with Century 21 Heritage Group Ltd. policy and RECO’s expectations. --- ### **Step 1: Initial Receipt of Complaint** Complaints may come from: - **RECO** - **A client or member of the public** - **Another agent or brokerage** - **Internal staff or management** All complaints, regardless of source or tone, must be taken **seriously and without defensiveness**. --- ### **Step 2: Notify Management** Immediately forward any complaint to your Manager. Include: - The full text of the complaint (email, form, or verbal summary) - Time and date received - Any attachments or evidence provided **Do not respond independently.** Wait for direction from the designated manager or Broker of Record. --- ### **Step 3: Review and Triage** The Broker of Record or designated manager will: - Assess the complaint for validity and severity - Determine whether it relates to: - Advertising - Ethics or professionalism - Contractual concerns - Regulatory breaches If the complaint was submitted to **RECO**, follow RECO’s response protocol and timelines carefully. --- ### **Step 4: Collect Facts & Evidence** The agent(s) involved must: - Provide a written response (factual and professional) - Submit relevant documentation (e.g., communications, contracts, ads, logs) - Disclose any previous related issues or conflicts Do not delete or alter any communications, advertisements, or online material under review. --- ### **Step 5: Response Preparation** The Broker of Record or manager will: - Draft or review the official response to the complainant or RECO - Determine if corrective action is needed (e.g., revised ad, apology, compliance training) - Communicate next steps clearly to the involved agent(s) --- ### **Step 6: Corrective Action (If Applicable)** If the complaint reveals a breach or oversight: - Take immediate corrective action (e.g., remove or amend advertisement) - Document the change and provide proof to management or RECO - Complete any retraining or policy review assigned --- ### **Step 7: Close and Document the File** Once the complaint is resolved: - The file is logged in the **Compliance Tracker** - Any resulting RECO communication is saved - Agent performance files are updated if applicable Internal complaints are followed up to ensure the matter is resolved, and trust is rebuilt. --- ### **Important Reminders:** - All complaints must be approached **professionally and respectfully** - Do not speculate, retaliate, or attempt to resolve it publicly - **Transparency and documentation** protect both the agent and the brokerage - Silence or delay can escalate the matter — always respond promptly through the correct channels # Submitting a Complaint to RECO **Applies To:** Sales Representatives, Brokers, Broker of Record, and Managers **Purpose:** To ensure that complaints submitted to the Real Estate Council of Ontario (RECO) are handled professionally, internally reviewed, and submitted properly per RECO’s regulations. --- ### **Step 1: Identify the Issue** The agent must first identify the nature of the complaint: - Misleading or non-compliant advertising - Unethical behaviour or professional misconduct - Breach of TRESA, RECO Code of Ethics, or REBBA guidelines - Unauthorized representation, false claims, or improper disclosures The issue must be **documented and evidence-based**. --- ### **Step 2: Attempt Internal Resolution** Before involving RECO, agents must make **reasonable efforts** to resolve the matter internally: - Inform your **Office Manager** or **Broker of Record** - Attempt professional dialogue with the other agent or their manager (where appropriate) - Keep written records of all communications and attempted resolutions **Note:** RECO requires that brokers or managers attempt resolution before a formal complaint is filed. --- ### **Step 3: Escalate to Management** If resolution is not achieved, submit the concern to your Manager Include: - A written summary of the issue - All related evidence (screenshots, ad copies, emails, etc.) - Documentation of attempted resolution (if any) The **Broker of Record** or **Designated Manager** will review and determine if it meets the threshold for RECO involvement. --- ### **Step 4: Formal Complaint Submission to RECO** Only the **Broker of Record** or **Brokerage Manager** may file the complaint with RECO. **Required Documentation:** - Completed **RECO Advertising Complaint Form** or General Complaint Form - Supporting evidence - Proof of attempted internal resolution - Identification of all involved parties (anonymous complaints are not accepted) **Submit to RECO via:** - Email: registration@reco.on.ca - Online: [www.reco.on.ca](https://www.reco.on.ca/) (Complaint Portal) --- ### **Step 5: Follow-Up** The Broker of Record will monitor and follow up on the complaint as needed. Agents involved will be updated on: - Whether the complaint was accepted - RECO’s request for additional information (if applicable) - Any outcomes or feedback --- ### **Important Reminders:** - **Do not file frivolous or retaliatory complaints**—RECO may view this as abuse of process. - All complaints must be based on **fact and regulation**, not personal disputes. - RECO decisions are **independent and final**—Century 21 Heritage Group has no control over the outcome.