AxiCorp Limited (Axi) is committed to:

• providing a high standard of client service; and
• maintaining our reputation for integrity and accountability.

We welcome feedback on our service at any time. If you are dissatisfied with our services please give us the opportunity to fix the problem. We will investigate, answer your questions and work hard so you enjoy trading with Axi.

Axi's complaints handling procedures seek to ensure complaints are reviewed independently and result in fair resolutions to customer complaints.

What is a complaint?

Axi defines a complaint as “an expression of dissatisfaction, whether oral or written, with a product or service provided by Axi that is not resolved at the first point of contact.”

How to make a complaint

Any member of Axi staff can receive a customer complaint and has the responsibility to do everything within their authority to resolve the issue at the first point of contact.

Where a member of staff feels they lack the experience, expertise or authority to settle the matter immediately, they may refer the matter to their supervisor.

We may ask you to provide details to us in writing. This includes, specifying the nature of the complaint, providing us with specific details and the desired outcome or action you wish Axi to take to settle the complaint to your satisfaction. We may ask you to provide relevant material to support the complaint; doing this will help us respond quickly.

You can contact our Client Services team through any of the contact details below:

Axi Financial Services (UK) Limited
36 - 38 Leadenhall Street London
EC3A 1AT
United Kingdom

Email: service@axi.com
Phone: 0800 602 7070

Investigation

On receipt of your complaint our staff will acknowledge your complaint and, where required, will commence an investigation.

Whilst our internal procedures allow us up to eight weeks to deal with a complaint, every effort will be made to resolve complaints as quickly as possible.

Internal Escalation

We expect that our front line staff and supervisors will completely resolve the issues you raise. If, despite our best efforts, you believe your complaint has not been satisfactorily dealt with, you may elect to have the matter reviewed.

Simply write to Axi at the address below and our Complaints Officer will independently review the matter.

Axi Financial Services (UK) Limited
1 Finsbury Market
London
EC2A 2BN
United Kingdom

Email: compliance.uk@axi.com

Timeframes & External Dispute Resolution

If after a period of eight (8) weeks, Axi has not completed its investigation and provided a final response, we must either:

• A) Provide a final response in writing which:

a. accept the complaint, and where appropriate, offer redress or remedial action; or

b. offer redress or remedial action without accepting the complaint; or

c. reject the complaint and give our reasons for doing so, and, which

i. enclose a copy of the Financial Ombudsman Services (FOS) standard explanatory leaflet;
ii. Provides the website address of the FOS;
iii. Informs the complainant that he or she may refer the complaint to the FOS if dissatisfied and, if so, do so within six (6) months of the date of our final response; and
iv. Indicates whether of not we consent to waive the relevant time limits.

• B) Provide a written response:

a. Explaining why we are not in a position to make a final response and provide an indication as to when we expect to be able to do so;

b. Inform the complainant that he or she may now refer the complaint to FOS;

c. Indicate whether or not we consent to waive the relevant time limits;

d. Enclose a copy of the FOS standard explanatory leaflet; and

e. Provide the website address of the FOS.

FOS is an independent service in the UK established by Parliament for settling disputes between businesses providing financial services to their customers.

FOS will make a determination after reviewing your complaint and all relevant issues, for example any relevant FCA rules. FOS has the authority to resolve the complaint, and Axi will be bound by their determination. Should you decide to utilise FOS, you can do so free of charge.

You can contact FOS in the following manner:

By writing to:

Financial Ombudsman Service
Exchange Tower,
Harbour Exchange,
London,
E14 9SR
United Kingdom

Phone: 0800 023 4567
Email: complaint.info@financial-ombudsman.org.uk
Web: www.financial-ombudsman.org.uk

Please note that FOS will not consider a complaint until we have had the opportunity to address the complaint, and any reference to FOS should not be made by you until you receive a final response from us or, eight weeks after the date of your complaint, whichever is sooner.

Date of Issue: 2 June 2022