Complaints Procedure

Introduction  

Investa Markets Ltd are authorised and regulated by the Financial Conduct Authority (“FCA”) in the United Kingdom (FRN: 1037289). We are required to have in place effective and transparent procedures for the reasonable and prompt handling of complaints received from complainants.

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This document sets out the complaints handling procedures that we will follow in the event that you make a complaint.

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Does this policy apply to you?

We will apply this policy to you if you are making any complaint.

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Please note, however, that if you are not an eligible complainant you will not be able to refer your complaint to the Financial Ombudsman Service (“FOS”) if you are not satisfied with the way we have handled your complaint.

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How can you make a complaint?

You can make a complaint by any reasonable means – for example, letter, email, telephone or in person. It is free of charge to complain. To enable us to resolve your complaint as quickly as possible, please provide us with the following information:

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• the name, address, contact phone number, and email address of the complainant; or
• your name, the name and address of the organisation you represent if you are making a complaint on behalf of an eligible complainant; and
• the account number or other reference for the account that the complaint relates to; and
• details of the complaint, including relevant references and dates.

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What will we do once we receive your complaint?

Your complaint will be referred to our Compliance Officer as soon as possible.

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We will promptly acknowledge your complaint in writing. In this acknowledgement we will provide the name and title of the person that is handling your complaint. We have given this individual the authority necessary to investigate and settle the complaint. We will also include a copy of this policy with our response to you.

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Investigating and resolving your complaint

We will investigate your complaint fairly, consistently and promptly, determine whether the complaint should be upheld, and (if appropriate) determine remedial action and / or redress. We will set out our conclusions in a final response to you.

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Our timetable for responding to you

Once we have acknowledged your complaint, we will keep you informed of our progress. Within 8 weeks from the complaint, we will send you either a final response or a written response which explains why we cannot make a final response to you and when we might be expected to provide one.

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Closing complaints

We will regard your complaint as closed in the following circumstances:

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• Once we have sent you a final response; or
• Where you have told us in writing that you accept an earlier response that we have sent to you.

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Financial Ombudsman Office

If you are not satisfied with the resolution of your complaint by us, you may be able to raise it to the Financial Ombudsman:

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• Address:  Financial Ombudsman Service, Exchange Tower, London, E14 9SR
• Website: www.financial-ombudsman.org.uk
• Email: complaint.info@financial-ombudsman.org.uk
• Telephone: +44 (0)800 023 4567 (free) / +44 (0)300 123 9123 (low-cost)

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Questions

If you have any questions about our complaints process, you can contact our Compliance Officer:

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• Name: Brit Tedesco
• Email: complaints@investa.co.uk
• Address: 120 Holborn, London, EC1N 2TD