Complaint Handling Procedure for Hexagone Capital Limited
Complaints Handling Procedure
At Hexagone Capital (DIFC) Limited, Unit 2803, Level 28, Al Fattan Currency House, DIFC, Dubai, UAE, we take immense pride in offering an unparalleled experience to our esteemed clients. Regulated by the Dubai Financial Services Authority (DFSA), with a Category 4 licence (DFSA Reference Number #F007596, our services include: (i) Advising on Financial Products and (ii) Arranging Deals in Investments. We are dedicated to ensuring that any concerns or complaints are addressed with the utmost professionalism, integrity, and efficiency, befitting the high standards of excellence our clients have come to expect.
Introduction
In our pursuit of excellence, we have crafted a meticulous 7-step complaints handling procedure, ensuring that any expressions of dissatisfaction, regardless of their nature, are promptly investigated, elegantly resolved, and properly recorded. This allows us to continually refine our services to better serve our valued clients.
Complaints Procedure
Step 1: Receiving and Recording the Complaint
Complaints, whether submitted verbally or in writing, are diligently recorded in our Client Complaint Record and forwarded immediately to our Compliance Officer.
For verbal complaints, clients are invited to submit their concerns in writing to ensure a formal and seamless resolution process.
In keeping with the high standards of impartiality, any employees directly involved in the subject of the complaint are not permitted to handle its resolution.
Step 2: Acknowledgement of the Complaint
Upon receipt of a complaint, our Compliance Officer will acknowledge it in writing within 7 business days, providing a bespoke overview of our complaints handling procedure and an anticipated timeline for resolution.
In instances where the complaint can be swiftly resolved, the outcome will be conveyed to the client within the same day, ensuring immediate attention to their concerns.
Step 3: Investigation of the Complaint
A comprehensive review of the complaint is initiated immediately, assessing its gravity and potential implications for both the client and Hexagone Capital.
Our Compliance Officer, in collaboration with the Senior Executive Officer, ensures that every complaint is investigated with precision, consistency, and discretion, adhering to the communicated timeline.
Step 4: Resolution of the Complaint
A formal response, detailing the outcome of our thorough investigation, will be provided to the client within 30 business days. This communication will outline the steps taken to address the matter and, where appropriate, any redress or resolution.
Should further investigation be required, the client will be kept informed of any delays, with a revised timeline clearly communicated.
Step 5: Recording the Outcome
The resolution, along with all pertinent documentation, will be meticulously recorded in the Register of Client Complaints, maintained to the highest standards of compliance.
All records will be securely retained for a minimum of 6 years, ensuring that every detail is preserved in line with regulatory expectations.
Step 6: Review and Mitigation
Following the resolution, the Compliance Officer will conduct a review of our internal systems and controls. Any necessary refinements will be implemented to prevent the recurrence of similar issues, ensuring our services remain at the pinnacle of excellence.
Step 7: Reporting to the Board
As part of our unwavering commitment to transparency, all complaints and their statuses are reported to the Board of Directors in our quarterly compliance report, ensuring that we continuously enhance our clients’ experience.
Complaints Involving Other Regulated Entities
In situations where another regulated financial institution may bear responsibility for the matter in question:
We will promptly inform the client in writing and obtain their consent before referring the complaint to the responsible entity.
Once consent is received, the complaint will be formally transferred, and the client will be provided with the contact details of the relevant individual at the external institution who will handle the complaint.
Escalation and External Resolution
If the client remains unsatisfied with the outcome, we offer the option of escalating the matter to an external dispute resolution mechanism, such as the DIFC Courts or an appropriate arbitration forum. You can contact the DFSA in one of the following ways:
The complaint must be submitted in writing:
1. Electronically via the complaints portal on the DFSA website (https://www.dfsa.ae/make-enquiry)
2. By fax to +971 4 362 0801
3. By mail to DFSA Complaints, Level 13, The Gate, PO Box 75850, Dubai, UAE
4. Or in person to the DFSA at Level 13, West Wing, DIFC
Record Keeping
We ensure that every communication related to complaints is meticulously documented and preserved, in compliance with DFSA regulations. These records are regularly analysed to identify trends, enabling us to address potential legal and operational risks and further elevate the client experience.
For further details or to submit a complaint, please contact:
Compliance Officer
E: compliance@hexagone-capital.com
M: +971 56 828 4187
Customer Complaint Form
To ensure your experience with us is exceptional, we invite you to download our Customer Complaint Form here. Please fill out the form and return it to us at your earliest convenience. Your concerns will be addressed with the utmost diligence and care, reflecting our commitment to excellence.
