Complaint Handling Procedure
Last amended on May 2014
1. Interpretation of Terms
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.
2.1 Tradeslide Trading Tech Limited is a company incorporated in England and Wales with Company Number 08061368 having its registered office at Acre House, 11-15 William Road, NW1 3ER, London (the “Company”). The Company is authorised and regulated for the conduct of investment business by the Financial Conduct Authority of 25 The North Colonnade, Canary Wharf, London, E14 5HS (the “FCA”). Tradeslide Trading Tech Limited is listed in the Financial Services Register under Firm Registration Number 586466.
2.2 The Company provides Internet based services, including (i) brokerage, (ii) software, (iii) investment and (iv) ancillary services at www.darwinex.com (the “Company’s Website”) under the commercial name “Darwinex”.
2.3 Further information about the Company can be found on the FCA’s website or by contacting the FCA directly at 25 The North Colonnade, Canary Wharf, London, E14 5HS.
3. Scope of the Complaints Handling Procedure
The complaints handling procedure (the “Procedure”) sets out the processes employed when dealing with Complaints (as defined below) received by Clients (as defined in the Client Agreement available online at www.darwinex.com).
4. Definition of Complaint
4.1 A Complaint is an expression of dissatisfaction, whether oral or written, and whether justified or not, from or on behalf of an eligible complainant about the Company’s provision of, or failure to provide, a financial service'.
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 the Company or a Company’s employee.
5.1 All complaints must be in writing and shall be addressed, in the first instance, to the Customer Support Department email@example.com.
5.2 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 firstname.lastname@example.org, which will independently and impartially investigate it.
6. Complaint Handling Procedure
6.1 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 Company, including but not limited to the Client’s trading account journal) and reach a fair outcome.
6.2 Both the Customer Support Department and the Compliance Department shall:
(i) send an initial response to the Client within forty-eight (48) hours,
(ii) resolve complaints as soon as reasonably practicable and
(iii) inform the client accordingly.
6.3 All Complaints shall be treated confidentially.
7. Financial Ombudsman Service
7.1 If the Company does not resolve the Complaint, or issue a final response within 8 weeks of the date the customer first complained to the Company, then the Customer may escalate the Complaint to the Financial Ombudsman Service.
8.1 Questions regarding this Procedure should be addressed, in the first instance, to the Customer Service Department.
Customer Support Department E-mail: email@example.com
Compliance Department E-mail: firstname.lastname@example.org