1. Purpose
This Complaints Handling Policy explains how complaints are handled when raised against J. Knobel Investor Services Limited in its capacity as a tied agent acting on behalf of a licensed Cyprus Investment Firm.
2. Scope
This policy applies to complaints relating to:
- Reception and transmission of orders
- Investment advice provided on behalf of the principal
- Client interaction and support activities performed as a tied agent
Complaints relating to the execution of transactions, custody, fees, or portfolio management fall under the responsibility of the principal investment firm.
3. Definition of a Complaint
A complaint is any expression of dissatisfaction alleging that the tied agent or the principal has failed to comply with its obligations under applicable laws or contractual arrangements.
4. How to Submit a Complaint
Complaints may be submitted in writing via:
Email: complaints@jknobel.com
Post: J. Knobel Investor Services Limited, 55Vyzantiou 2064 Nicosia, Cyprus
To assist efficient handling, complainants should include:
- Name and contact details
- Description of the issue
- Relevant dates and documentation
5. Complaint Handling Process
- Acknowledgement: Complaints are acknowledged promptly upon receipt.
- Forwarding to Principal: Where the complaint concerns regulated investment services, it is immediately forwarded to Mega Equity Securities and Financial Services Public Ltd, which retains full responsibility.
- Investigation: The principal investigates the complaint in accordance with its internal complaints handling procedures and regulatory obligations.
- Response: A written response is provided within the timeframe prescribed by applicable regulation.
6. Regulatory Escalation
All complaints are recorded and retained in accordance with:
- Regulatory record‑keeping requirements
- Instructions issued by the principal
- Applicable data protection laws