Complaints Handling

Complaints handling procedure

Below you can find a detailed outline of our Complaints Handling Procedure, which should be followed in the event that you wish to file a complaint with the company at any time.

  • In the first instance, you should try to resolve your dissatisfaction or grievance with your normal AZtrades Account Manager.
  • If your account manager is unable to resolve your dispute to your satisfaction, you should direct your complaint or grievance either verbally or in writing to AZtrades Compliance Officer.
  • We will acknowledge your complaint within 48 hours of receipt and let you know which senior person will be dealing with your complaint direct from Aztrades.
  • AZtrades  endeavours to offer its customers the highest standards of service in all aspects of its business, however there may be elements of our service that do not meet your satisfaction. The Compliance Officer (or an independent director) will record any customer complaints or expressions of dissatisfaction in the firm’s Complaints Register.
  • We will investigate your complaint and endeavour to send a final response to you within 4 weeks of receipt of your complaint. If we are unable to provide you with a final response within this time we will send you an update.
  • We will endeavour to send a final response to you within 8 weeks of receipt of your complaint. If we are unable to provide you with a final response within this time frame, we will write to you explaining why and advise you when you can expect a final response.
  • If more than 8 weeks from the date of your complaint has past and you haven’t received a final response, or you are dissatisfied with the final response you have received from us, you are entitled to refer your complaint to the support  department of AZtrades

Scope of the complaints handling procedure

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

Definition of a complaint

A Complaint is an expression of dissatisfaction by a client regarding the provision of investment and/ or ancillary services provided by  Aztrades and the complaint should content below details of client.

  • 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.

Complaint must not include:

  • Offensive language directed either to Aztrades or an Aztrades employee.

Procedure

  • 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@aztrades), which will independently and impartially investigate it.
  • 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.
  • 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.
  • All complaints shall be treated confidentially.