Complaints Handling Summary

The following complaints handling summary relates to how Finex LLP will approach; (1) a complaint from an “eligible complainant” in connection with its AIF management services; and (2) a “MiFID complaint”.

AIF Management Services

Finex LLP is appointed as the investment manager to several Alternative Investment Funds (AIFs), with certain responsibilities for portfolio management (“AIF management services”).

If you are an investor in the funds managed by Finex LLP, you should contact us immediately if you are dissatisfied with any aspect of the AIF management services provided to you by Finex LLP. Please write to the Finex LLP Compliance Officer, Elena Gebhardt, elena.gebhardt@finexlondon.com. We take every complaint seriously and your complaint will be handled in accordance with the relevant FCA rules. It is Finex LLP’s policy to aim to resolve every complaint fairly and in a timely manner. Finex LLP has a written internal complaint handling policy, as required by the FCA Rules. You can obtain a copy of this on request, and in the event, you should have cause for complaint about the AIF management services which Finex LLP provides to you, a copy of the policy will be sent to you.

MiFID Business

A “MiFID complaint” is defined by the FCA and relates to the Firm’s MiFID business which for Finex LLP is the provision of investment services, and where relevant, ancillary services.  A complainant for the purposes of Finex LLPs’ MiFID business includes a “client”, also defined in MiFID, which includes professional clients.

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