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 (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.