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Complaints Handling Procedure

Last Reviewed January 2023

 

A MiFID complaint is, amongst other things, a complaint to which Article 26 of the MiFID Org Regulation applies, and so refers to a complaint about:

  • The provision of investment services or ancillary services to a client by an investment firm;

  • The provision of one or more investment services to a client by a CRD credit institution;

  • Selling structured deposits to clients, or advising clients on them, where the sale or advice is provided by an investment firm or a CRD credit institution;

  • The activities permitted by Article 6(3) of the UCITS Directive when carried on by a collective portfolio management investment firm; and

  • The activities permitted by Article 6(4) of the AIFMD when carried on by a collective portfolio management investment firm.

A MiFID complaint is also a complaint about the equivalent business of a third country investment firm, although requirements apply to complaints from retail clients and elective professional clients only.

You should contact us if there is any aspect of the provision of investment services provided by Robocap that you are not satisfied with. Please write to the Robocap Compliance Officer, Nick Martin, nmartin@robocapfund. We take every MiFID complaint seriously and your complaint will be handled in accordance with the relevant FCA rules. Robocap has a written complaints handling policy, a copy of which is available upon request.

In the event we fail to resolve a complaint to your satisfaction, or if we fail to do so within eight weeks of receiving your complaint, you may also be entitled to refer your complaint to the Financial Ombudsman Service at Exchange Tower, Harbour Exchange Square, London, E14 9SR. Telephone: 0800 023 4567 or at www.financial-ombudsman.org.uk.

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