Complaints handling procedure

1. INTERPRETATION OF TERMS

1.1 Unless indicated to the contrary, the terms included in this Report shall have a specific meaning and may be used in the singular or plural as appropriate.

1.1.ii Client Means the ‘client’ as defined in the ‘Client Agreement’ available online at https://www.fxpro.co.uk

2. INTRODUCTION

2.1 FxPro UK Ltd. (hereinafter referred to as FxPro or the ‘Firm’) is incorporated (Certificate of Incorporation No. 06925128) in England & Wales. Our registered office is 13-14 Basinghall Street, London, EC2V 5BQ. FxPro is authorised and regulated by the Financial Conduct Authority (‘FCA’). FCA number is 509956. You can check this on the FCA’s register by visiting the FCA’s website or by contacting the FCA telephone (freephone)0800 111 6768. Abroad you can telephone +44 20 7066 1000 or email at consumer.queries@fca.org.uk.

3. SCOPE OF THE COMPLAINTS HANDLING PROCEDURE

3.1 The Complaints Handling Procedure (‘the Procedure’) sets out the processes employed when dealing with complaints received by clients.

4. DEFINITION OF A COMPLAINT

4.1 A complaint is an expression of dissatisfaction by a client regarding the provision of investment and/ or ancillary services provided by FxPro.

4.2 A complaint shall include:

• the client’s name and surname;
• the client’s trading account number;
• the affected transaction numbers, if applicable;
• the date and time that the issue arose; and
• a description of the issue.

4.3 A complaint must not include:

• offensive language directed either to FxPro or an FxPro employee.

5. PROCEDURE

5.1 All complaints must be in writing and shall be addressed, in the first instance, to the Customer Support Department. If the client receives a response from the Customer Support Department but deems that the complaint needs to be raised further the client may either ask the Customer Support Department to escalate it to the Compliance Department or directly contact the Compliance Department (compliance@fxpro.co.uk), which will independently and impartially investigate it.

5.2 Both the Customer Support Department and the Compliance Department shall thoroughly examine any complaints as required (taking into account any information contained within the books and records of the Firm, including but not limited to the client’s trading account journal) to reach a fair outcome.

5.3 Both the Customer Support Department and the Compliance Department shall: (i) send an initial response to the client within 48 hours, (ii) resolve complaints as soon as reasonably practicable and (iii) inform the client accordingly.

5.4 All complaints shall be treated confidentially.

6. FAQs

6.1 Questions regarding this Procedure should be addressed, in the first instance, to the Customer Service Department.

7. CONTACTS

7.1 Customer Support Department E-mail: support@fxpro.co.uk
Compliance Department E-mail: compliance@fxpro.co.uk

1. SCOPE

1.1 The Complaint Handling Procedure (the ‘Procedure’) sets out the process adopted by FxPro Financial Services Ltd. (referred to as ‘FxPro’ or the ‘Firm’) for the reasonable and prompt handling of complaints, disputes, or grievances received from Clients (referred to as the ‘Client’, the ‘Complainant’, ‘you’, ‘your’ and ‘yourself’).

1.2 For any capitalised term, which has not been defined in the Policy, please refer to Schedule A (‘Glossary’) of the ‘Client Agreement’.

2. QUERIES

2.1 If you are dissatisfied with our services, or if you have a query regarding your account or activity with us, you may contact the Customer Support Department via live chat, e-mail or telephone. Our Customer Support Department will determine if your query can be resolved immediately or if it will require further investigation; if your query cannot be resolved immediately, we remain committed in addressing and/or resolving it in a prompt manner (usually within 48 business hours).

2.2 If you are not satisfied with the response to the query or grievance you received, then you may raise this further with the Compliance Department following the process indicated in the ‘Official Complaints’ section.

3. OFFICIAL COMPLAINTS

3.1 An official complaint means a statement of dissatisfaction relating to the provision of investment services, addressed by a Complainant to the Compliance Department, as indicated in the Procedure.

3.2 A complaint must include: (i) the Client’s name and surname, (ii) the Client’s Account number, (iii) the affected transaction number(s), if applicable, (iv) the date and time that the issue arose, and (v) an accurate description of the issue.

3.3 Complaints need to be sent by e-mail (compliance@fxpro.com) to the Compliance Department.

3.4 Complaints communicated to the Compliance Department must be received from the registered e-mail of the Client or the Client’s Appointed Representative as soon as possible after the subject matter of the complaint arose.

3.5 We will confirm to the Complainant, within five (5) days, the receipt of the complaint and we will provide you with a unique reference number.

3.6 We will investigate the complaint and reply, within two (2) months, to the Complainant about the outcome/ decision.

3.7 In the unlikely event we are unable to respond within two (2) months, it informed the complainant of the reasons for the delay and indicates the period of time within it is possible to complete the investigation; this period of time cannot exceed three (3) months from the submission of the complaint.

4. NEXT STEPS

4.1 If you are not satisfied with our final response to your complaint, then you can contact the Financial Ombudsman of the Republic of Cyprus within a period of four (4) months from the date of receiving our final response. Note however that the FOS has the right to refuse the examination of any complaint if, amongst other reasons, that complaint has been submitted to the Financial Ombudsman twenty-two (22) months from the date on which the Client has become aware, or ought to reasonably be aware (according to the opinion of the Financial Ombudsman) of the action or omission of the financial undertaking or of the fact that he had a basis for the submission of a complaint.

Also note that if a client is a legal entity, trust or otherwise, different provisions may apply and you should become aware of the provisions of the relevant law.

Further information can be found on http://www.financialombudsman.gov.cy.

4.2 Further information as to the procedure you need to follow can be found on http://www.cysec.gov.cy/en-GB/complaints/how-to-complain/.

4.3 When complaining, a Client should, at all times, use the unique complaint number that will be provided in the acknowledgement and/ or response by FxPro.

4.4 In the event that you are not satisfied by the decision of the Financial Ombudsman, you may take civil action as an option of last resort.

1. SCOPE

1.1 The Complaint Handling Procedure (the ‘Procedure’) sets out the process adopted by FxPro Global Markets MENA Limited (referred to as ‘FxPro’ or the ‘Firm’) for the reasonable and prompt handling of complaints, disputes, or grievances received from Clients (referred to as the ‘Client’, the ‘Complainant’, ‘you’, ‘your’ and ‘yourself’).

1.2 For any capitalised term, which has not been defined in the Policy, please refer to Schedule A (‘Glossary’) of the ‘Client Agreement’.

2. QUERIES

2.1 If you are dissatisfied with our services, or if you have a query regarding your account or activity with us, you may contact the Customer Support Department via live chat, e-mail or telephone. Our Customer Support Department will determine if your query can be resolved immediately or if it will require further investigation; if your query cannot be resolved immediately, we remain committed in addressing and/or resolving it in a prompt manner (usually within 48 business hours).

2.2 If you are not satisfied with the response to the query or grievance you received, then you may raise this further with the Compliance Department following the process indicated in the ‘Official Complaints’ section.

3. OFFICIAL COMPLAINTS

3.1 An official complaint means an oral or written expression of dissatisfaction relating to the provision of investment services, addressed by a Complainant to the Compliance Department, as indicated in the Procedure. Any complaints made are handled fairly, consistently and promptly.

3.2 A complaint must include: (i) the Client’s name and surname, (ii) the Client’s Account number, (iii) the affected transaction number(s), if applicable, (iv) the date and time that the issue arose, and (v) an accurate description of the issue.

3.3 Complaints need to be sent by e-mail (compliance@fxpro.ae) to the Compliance Department.

3.4 Complaints communicated to the Compliance Department must be received from the registered e-mail of the Client or the Client’s Appointed Representative as soon as possible after the subject matter of the complaint arose.

3.5 Upon receipt of the Complaint, we will confirm to the Complainant in writing, within seven (7) days, the receipt of the complaint and we will provide you with a unique reference number. We will also provide the Complainant with (i) the contact details of any individual responsible for handling the Complaint, [(ii) key particulars of the Authorised Firm's Complaints handling procedures;] and (iii) a statement that a copy of the procedures is available free of charge upon request in accordance with GEN Rule 9.2.11; and (c) consider the subject matter of the Complaint.

3.6 Where appropriate, we will update the Complainant on the progress of the handling of the Complaint.

3.7 We will investigate the complaint and reply, within thirty (30) days, to the Complainant about the outcome/ decision.

3.8 In the unlikely event that we are unable to respond within 30 days, the Firm will inform the complainant of the reasons for the delay and indicates the period of time within it is possible to complete the investigation; this period of time should not exceed 60 days from the submission of the complaint.

3.9 Upon conclusion of an investigation of a Complaint, we will notify you of the following: (а)advise the Complainant in writing of the resolution of the Complaint; (b) provide the Complainant with clear terms of redress, if applicable; and (c) comply with the terms of redress if accepted by the Complainant.

In the unlikely event we are unable to respond within two (2) months, it informed the complainant of the reasons for the delay and indicates the period of time within it is possible to complete the investigation; this period of time cannot exceed three (3) months from the submission of the complaint.

4. NEXT STEPS

4.1 If you are not satisfied with our final response to your complaint, then you can take other avenues for action. Where appropriate we can provide you with the necessary contact details upon request. Other such avenues for resolving a complaint may include an external dispute resolution scheme, arbitration or the DIFC court. Also note that additional provisions may apply and more information may be found here.

4.2 When complaining, a Client should, at all times, use the unique complaint number that will be provided in the acknowledgement and/ or response by FxPro.

5. RECORD RETENTION

5.1 FxPro will maintain electronic records of complaints made by its clients (including clients who were introduced or referred by FxPro to other group entities).

5.2 Client Support and Compliance department will have access to the online complaints system and records.

5.3 All the complaint records and relevant documents will be retained for a period of six (6) years from the date of receipt a complaint.

1. SCOPE

1.1 The Complaint Handling Procedure (the ‘Procedure’) sets out the process adopted by FxPro Global Markets Ltd. (referred to as ‘FxPro’ or the ‘Firm’) for the reasonable and prompt handling of complaints, disputes, or grievances received from Clients (referred to as the ‘Client’, the ‘Complainant’, ‘you’, ‘your’ and ‘yourself’).

1.2 For any capitalised term, which has not been defined in the Policy, please refer to Schedule A (‘Glossary’) of the ‘Client Agreement’.

2. QUERIES

2.1 If you are dissatisfied with our services, or if you have a query regarding your account or activity with us, you may contact the Customer Support Department via live chat, e-mail or telephone. Our Customer Support Department will determine if your query can be resolved immediately or if it will require further investigation; if your query cannot be resolved immediately, we remain committed in addressing and/or resolving it in a prompt manner (usually within 48 business hours).

2.2 If you are not satisfied with the response to the query or grievance you received, then you may raise this further with the Compliance Department following the process indicated in the ‘Official Complaints’ section.

3. OFFICIAL COMPLAINTS

3.1 An official complaint means a statement of dissatisfaction relating to the provision of investment services, addressed by a Complainant to the Compliance Department, as indicated in the Procedure.

3.2 A complaint must include: (i) the Client’s name and surname, (ii) the Client’s Account number, (iii) the affected transaction number(s), if applicable, (iv) the date and time that the issue arose, and (v) an accurate description of the issue.

3.3 Complaints need to be sent by e-mail compliance@fxpro.global to the Compliance Department.

3.4 Complaints communicated to the Compliance Department must be received from the registered e-mail of the Client or the Client’s Appointed Representative as soon as possible after the subject matter of the complaint arose.

3.5 Where appropriate, we will update the Complainant on the progress of the handling of the Complaint.

3.6 Upon receipt of the Complaint, we will investigate the complaint and reply, within fourteen (14) days of receipt, to the Complainant about the outcome/ decision

4. NEXT STEPS

4.1 If you are not satisfied with our final response to your complaint, then you can contact the Securities Commission of The Bahamas by email on info@scb.gov.bs. Further information can be found on http://www.scb.gov.bs/e_complaints.html.