Complaints Procedure

One Financial Markets is dedicated to consistently delivering high-quality service to all clients. We recognize that issues may sometimes arise, and for this reason, we have established a thorough complaints handling process. This procedure ensures that we acknowledge your concerns, address them seriously, and use them as opportunities for continuous service improvement.

We are committed to handling all queries and complaints with empathy and efficiency. Should we be at fault, our objective is to rectify the situation promptly.

Client Queries

For any questions regarding your account or interactions with One Financial Markets, please contact the Client Services department as soon as practical through one of the following methods:

• Email: clientservices@ofmarkets.com
• Telephone: +44 203 857 2100
• Mail: Client Services, One Financial Markets, Level 2, 36 – 38 Leadenhall Street, London, EC3A 1AT

Most queries are resolved immediately or within 24 hours. If your issue requires more extensive investigation, we aim to provide an update on the outcome within 5 business days of your initial contact.

Client Complaints

If you are not satisfied with the resolution of your initial query or wish to submit a formal complaint, please notify the Compliance department via:

• Email: compliance@ofmarkets.com
• Telephone: +44 203 857 2100
• Mail: Compliance Department, One Financial Markets, Level 2, 36 – 38 Leadenhall Street, London, EC3A 1AT

Should we receive a complaint that cannot be resolved within 24 hours, you will receive a formal acknowledgment via email. The Compliance department will then conduct a full and impartial investigation, reviewing all relevant evidence and documents, interviewing involved employees, and considering guidance from our regulator (the FCA) and the Financial Ombudsman Service (FOS).

Upon completion of our investigation, you will receive a final written response detailing any appropriate redress we deem necessary. This final response will be issued within 8 weeks of the complaint's receipt. However, investigations typically conclude sooner, with responses normally provided within 4 weeks.

We consider complaints from an 'eligible complainant,' defined as:

• A private individual; or
• A business with an annual turnover of less than £1 million; or
• A charity with an annual income of less than £1 million; or
• A trustee of a trust with a net asset value of less than £1 million;

(Please note that another party authorized by you may lodge a complaint on behalf of an eligible complainant)

And

• Who is or has been a customer of One Financial Markets; and
• Where the complaint originates from matters related to being or having been a customer;

Or

• Where the complaint results from our actions or inactions, and the complainant is a potential customer of One Financial Markets.

A 'final response' signifies:

• Our belief that your complaint has been fully addressed; and
• Our notification to you that you may elevate your complaint to FOS if you remain dissatisfied with our final response, and that this referral must occur within 6 months (from the date of the final response); and
• The inclusion of a FOS explanatory leaflet or a link to the FOS website.

A complaint will be considered closed when:

• We have dispatched our final response; or
• You have confirmed in writing your acceptance of our response or offer; or
• You have not responded to our correspondence within 8 weeks from the date of our written response.

For Your Information

We are obligated to submit a comprehensive report to the FCA biannually (in April and October). This report details our complaints procedures and records, including the number and types of complaints received and their closure dates.

Contact

One Financial Markets

Level 2

36 – 38 Leadenhall Street

London

EC3A 1AT

Email: compliance@ofmarkets.com

Tel: 0203 857 2100

Financial Ombudsman Service

South Quay Plaza

183 Marsh Wall

London

E14 9SR

Tel: 0845 080 1800