All service-related issues or concerns about your accounts are initially managed by our Client Success team. If you are dissatisfied with their response, you may request that your concerns be escalated to our Compliance team.
Note: Complaints involving allegations of misconduct or legal violations will automatically be escalated to the Compliance team.
Compliance Department Procedures
1
Acknowledgment
We will acknowledge your complaint in writing within 5 business days
2
Investigation & Resolution
We aim to resolve complaints and provide a decision within 90 days, including:
- A summary of the complaint
- Investigation findings
- Our resolution decision
- An explanation of our decision
3
If There Are Delays
Should we be unable to meet the 90-day timeline, we will:
- Notify you of the delay
- Explain the reasons
- Provide a new decision date