MUFG Investor Services

MiFID Client Complaints Policy
MiFID Client Complaints Policy

This policy details the complaints handing infrastructure with effective and transparent complaints management processes for the prompt handling of clients’ or potential clients’ complaints.

MAFSI is authorised by the Central Bank of Ireland for the receipt and transmission of orders. Clients of MUFG Alternative Fund Services Ireland Limited (‘MAFSI’), with whom MAFSI is contracted for the receipt and transmission of orders may submit any complaint they have relating to this service to the postal address provided below.

MUFG Alternative Fund Services (Ireland) Limited
Ormonde House
12/13 Lower Leeson Street
Dublin 2
Ireland

“Complaint” is defined as an expression of dissatisfaction by a Client regarding the provision of reception and/or transmission of orders.

This policy is endorsed by the Board of Directors of MAFSI. This Policy will be reviewed and/ or amended from time to time and/ or as and when considered necessary by the Board of Directors and the Compliance Department.

Complaints will be addressed and responded to free of charge.

Complaints Handling Process

Client complaints shall be handled by the Complaints Management Function (Compliance Department).

The Compliance Department shall register each complaint in the Complaints Handling Log, no later than the next working day
A timely communication shall be sent to the Client acknowledging receipt of the complaint and providing an indication of the anticipate response time with a proposed resolution. We will endeavor to acknowledge the complaint within 24 hours however, at the latest, we will acknowledge it within 5 business days.

The investigation of the complaint is subject to the provision of the correct information by the Complainant.

We will endeavour to provide an appropriate resolution as part of our initial communication. In the event where you are dissatisfied with the resolution presented we will review the complaint again to determine an alternative resolution where possible.

A resolution will be provided within 1 calendar month, of the date of receipt of a complaint and failing to resolve within this timeframe, the complainant will be immediately notified of an expected timeframe for resolution.

It is important to note that where the complainant is not satisfied with the outcome of an investigation into a complaint, they have the right to refer the matter to the Financial Ombudsman in Ireland.