Aquantum recognizes that, despite our best efforts, investor dissatisfaction may occur from time to time. For this reason, Aquantum has developed the following processes to appropriately address investor complaints directed at our company or our operations:
- Any oral or written correspondence from an investor received by telephone, mail or fax in which the investor alleges misconduct by Aquantum or its representatives shall be considered a complaint.
- The Compliance Officer shall maintain a file containing all written investor complaints together with all correspondence with the investor. In addition, a separate file is maintained for all verbal investor complaints, which are recorded in writing by the responsible manager and include feedback to the investor.
- All investor complaints must be forwarded to the Compliance Officer on the day they are received, but in no case later than 24 hours after they are received.
- Complaints are handled directly by an Aquantum supervisor or the Company’s Counsel and are recorded in writing. Final responsibility for complaint handling rests with senior management.
- Investor complaint files are submitted separately by each person or employee involved in the complaint. This process allows for the rapid identification of employees who have received multiple complaints and the identification of possible similarities and patterns in complaints.
- In general, all complaints from investors are processed as quickly as possible.
- Complaints, whether written or verbal, should be addressed within five business days of receipt.
- Additionally, if you are a customer of a company that is supervised by BaFin, you can contact BaFin directly. For more information, please visit www.bafin.de.
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