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LEGAL & COMPLIANCE

Complaints Policy

Official policies and operational guidelines for AMBANK Asset Management Ltd.

1. Our Commitment

AMBANK Asset Management Ltd ("AMBANK") is committed to providing a high standard of service to all clients, institutional counterparties, and prospective clients. We take complaints seriously and aim to handle all concerns fairly, consistently, and promptly.

This policy sets out how you may raise a complaint with us, how we will handle it, and what escalation options are available to you.

2. What Constitutes a Complaint

A complaint is any oral or written expression of dissatisfaction, whether justified or not, from or on behalf of a person about:

  • The provision of, or failure to provide, a financial service or product offered by AMBANK;
  • Any act or omission by AMBANK which has caused, or may cause, financial loss, material distress, or material inconvenience.

This includes complaints relating to:

  • Quality or accuracy of information provided;
  • Conduct of AMBANK staff or representatives;
  • Delays or errors in processing;
  • Confidentiality or data protection concerns;
  • Any other aspect of our relationship or service delivery.

3. How to Submit a Complaint

You may submit a complaint through any of the following channels:

In writing: Complaints Officer AMBANK Asset Management Ltd Park Shot House, Kew Road, Richmond, England, TW9 2PR United Kingdom

By email: compliance@ambank.group

By telephone: As published on our website's contact page.

Please provide the following information when submitting your complaint:

  • Your full name and contact details;
  • A clear description of the nature of your complaint;
  • The date(s) on which the issue occurred;
  • Details of any prior communications relating to the matter;
  • The outcome you are seeking.

4. How We Will Handle Your Complaint

4.1 Acknowledgement

We will acknowledge receipt of your complaint in writing within 5 business days of receipt.

4.2 Investigation

Your complaint will be investigated by a member of our team who was not involved in the matter giving rise to the complaint. We may contact you during this period to request further information.

4.3 Final Response

We aim to issue a Final Response within 8 weeks of receipt of your complaint. The Final Response will:

  • Set out our assessment of your complaint;
  • Explain whether we uphold or reject your complaint, and on what basis;
  • Where the complaint is upheld, set out any proposed remedy or redress;
  • Inform you of your right to escalate the matter if you remain dissatisfied.

In exceptional circumstances where we are unable to provide a Final Response within 8 weeks, we will write to you explaining the reasons for the delay and providing an estimated timeline.

5. Escalation — Financial Ombudsman Service

If you are dissatisfied with our Final Response, or if we have not resolved your complaint within 8 weeks, you may have the right to refer the matter to the Financial Ombudsman Service (FOS) if you qualify as an eligible complainant under FOS rules.

Eligible complainants include: private individuals, micro-enterprises, charities with an annual income below £6.5 million, and certain other small organisations.

Financial Ombudsman Service Exchange Tower, London E14 9SR Website: www.financial-ombudsman.org.uk Telephone: 0800 023 4567 Email: complaint.info@financial-ombudsman.org.uk

You must refer your complaint to the FOS within 6 months of receiving our Final Response.

6. Escalation — Information Commissioner's Office (Data Protection)

For complaints relating specifically to the handling of your personal data, you may escalate to the:

Information Commissioner's Office (ICO) Wycliffe House, Water Lane, Wilmslow, Cheshire, SK9 5AF Website: www.ico.org.uk Helpline: 0303 123 1113

7. Record Keeping

We maintain records of all complaints received and their outcomes in accordance with applicable regulatory requirements. These records are retained for a minimum of 5 years.

We use complaint data to identify recurring issues and to drive continuous improvement in our services.

8. No Adverse Treatment

AMBANK is committed to ensuring that any person who raises a complaint is not subject to any adverse treatment as a result of having done so.

9. Amendments

This Complaints Policy may be updated from time to time. The current version will always be published on our website. We will notify clients of material changes where practicable.

10. Contact

For queries about this policy:

AMBANK Asset Management Ltd Park Shot House, Kew Road, Richmond, England, TW9 2PR, United Kingdom Email: compliance@ambank.group