COMPLAiNTs POLICY
This document sets out the Heptagon Groups complaints handling process. If you are dissatisfied with any aspect of the investment services we have provided, please let us know as soon as possible.
We take all complaints seriously and aim to handle them fairly, promptly, and in accordance with the rules applicable to your complaint.
How to contact us
Post, UK
Heptagon Capital LLP
63 Brook Street
Mayfair
London W1K 4HS
Post, Malta
Heptagon Capital Limited
The Hedge Business Centre
Triq ir‑Rampa ta’ San Giljan
Balluta Bay
St. Julians STJ 1062
When contacting us, please include your name, contact details, and a clear description of the matter, together with any relevant supporting documentation.
How we handle complaints
Upon receipt of your complaint, we will:
- Acknowledge your complaint promptly and keep you informed of its progress
- Review the facts and relevant records thoroughly, and contact you if further information is required
- Provide a response in clear, plain language, explaining our conclusions and any next steps
Regulatory response timelines
- UK‑related complaints
We will aim to provide a final response within eight weeks of receiving your complaint. If this is not possible, we will explain the reasons for the delay and inform you of your options. - Malta‑related complaints
We will aim to provide a substantive response within 15 working days of receiving your complaint. If this is not possible, we will explain the delay and keep you informed of progress.
If you are not satisfied with our response
If you remain dissatisfied, you may be entitled to escalate your complaint externally. The applicable escalation route depends on the regulatory framework governing your complaint, and this will be clearly set out in our final response.
United Kingdom, Financial Ombudsman Service (FOS)
If your complaint relates to UK‑regulated services and you are eligible, you may refer the matter to the Financial Ombudsman Service if you remain dissatisfied, or if a final response has not been provided within eight weeks.
Financial Ombudsman Service
Exchange Tower
Harbour Exchange Square
London E14 9SR
Telephone: 0800 023 4567
Email: [email protected]
Website: www.financial-ombudsman.org.uk
Malta, Office of the Arbiter for Financial Services (OAFS)
If your complaint relates to Malta‑regulated services, and you remain dissatisfied with our response or do not receive a response within the applicable timeframe, you may be able to refer the matter to the Office of the Arbiter for Financial Services.
Office of the Arbiter for Financial Services
Website: www.financialarbiter.org.mt
Postal address:
Office of the Arbiter for Financial Services
N/S in Regional Road
Msida MSD 1920
Malta
Our internal complaints procedure
We maintain an internal complaint handling procedure. Further details will be provided upon request or upon acknowledgement of your complaint.