COMPLAINT HANDLING

CONVERTINVEST Financial Services GmbH has put in place the following complaints handling procedure:

1. The company has a Complaints Officer responsible for processing and documenting complaints.
2. Customers can use the following methods, which the company will accept as permitted communication methods, to notify the company of a complaint (contact with complaint management department):
1. By post to the company’s registered office and any stated branches;
2. By e-mail to beschwerde@convertinvest.com
3. By telephoning +43 1 879 56 56 - 0
4. By speaking to a company employee in person at the company’s business premises.
3. Provided that the employee is not the Complaints Officer, the employee who receives or makes a note of the complaint must immediately pass the complaint to the Complaints Officer in the written form received or, if the complaint was communicated by telephone or in person, in the form of a brief memorandum. If the Complaints Officer receives the complaint, he or she must make the necessary note thereof. If the complainant has provided the appropriate information and this is adequate in the case in question, as a minimum this note must contain the complainant’s name and address, date complaint received, date note written, name of note’s author, and adequate summary of the complaint.
4. The customer must be contacted promptly after the Complaints Officer has received the complaint, if possible within one week of the company receiving the complaint, to respond appropriately and quickly to the individual complaint. For the duration of the complaint procedure the customer must also be informed regularly, at least every two weeks, of the procedure’s current status.
5. When the Complaints Officer has received the complaint, he/she must inform management that the complaint has been received.
6. When the complaints procedure has been completed, the Complaints Officer must inform management of the complaint procedure’s outcome and the action taken to resolve the complaint.
7. If the complaints procedure is not concluded within 30 days of the Complaints Officer becoming aware of the complaint, by this time at the latest the Complaints Officer must provide management within interim information about the complaints procedure’s status, now including the Compliance Officer.   If the complaints procedure lasts for an extended period, until the complaint has been resolved the Complaints Officer must provide management and the Compliance Officer with further interim information in writing, in each case within 30 days of provision of the previous interim information in writing.
8. The Complaints Officer must coordinate action to resolve complaints that requires the cooperation of employees other than the Complaints Officer.
9. The Complaints Officer must compile a physical and/or electronic file for every complaint containing all the documentation relating to the complaints procedure (internal company correspondence and correspondence with the complainant, notes, minutes of meetings and reflections, etc.). He or she must also keep a complaints register, showing the key information for every complaint (date of receipt, complainant’s name, summary of the complaint and outcome in a few words).
10. If it is impossible to achieve a satisfactory resolution for the complainant by the above means, the complainant also has the option of contacting the financial services Ombudsman (fld.ombudsstelle@wko.at) set up by the Austrian Economic Chamber’s  Association of Financial Service Providers. The complainant can also take the complaint to to an alternative dispute resolution organisation (information concerning these can be obtained from the Austrian Economic Chamber, WKO). In accordance with law, the customer also has the option of bringing a civil suit depending on the content of the complaint in question.