Complaints Handling Policy
1. Commitment
Montrock is committed to handling complaints fairly, consistently, objectively and without retaliation.
2. What Is a Complaint
A complaint is an expression of dissatisfaction about the Company’s services, conduct, staff, execution, payments, account administration, disclosures or another matter where a response or remedy is expected.
3. How to Complain
Complaints may be submitted through the dedicated complaints form available on the Montrock Ltd website or by email to complaints@mont-rock.com. Each formal complaint will be recorded and assigned an internal reference number.
Trading errors or related queries must be reported to the Company within 24 hours of occurrence. Delayed reporting may limit the Company’s ability to investigate and resolve the issue.
4. Information to Include
Clients should provide name, account number, contact details, relevant dates, transaction/order references, a clear description, supporting documents and the requested outcome.
5. Acknowledgement
The Company will acknowledge a complaint promptly and ordinarily within five business days, unless a shorter legal requirement applies.
6. Investigation
A person with appropriate independence and competence will review relevant records, communications, orders, payments and policies. Conflicts in complaint handling are identified and managed.
7. Response Time
The Company will review and address complaints within 21 business days where possible. If a complaint cannot be resolved within 21 business days, the complainant will be informed of the reasons for the delay and provided with a revised expected timeframe, with a final response issued within a maximum of 8 weeks from the date of receipt of the complaint.
8. Outcome and Remedial Action
The response will explain the conclusion and, where appropriate, correction, compensation, apology, process improvement, staff action or other remedy.
9. Escalation
If a complainant remains dissatisfied, the complaint may be escalated internally. Complainants should allow the Company 21 business days from the date of lodging a complaint for a determination before escalating the matter. Where applicable, a complainant who remains dissatisfied following completion of Montrock Ltd’s internal complaints procedure may refer the matter to the Financial Services Commission, Mauritius, in accordance with the FSC’s applicable procedures.
The FSC can be contacted by telephone on (230) 403 7000, via its website https://www.fscmauritius.org, or by completing the online complaints form at https://complaints.fscmauritius.org.
10. Records and Management Information
The Company keeps a complaint register including date, complainant, issue, owner, status, outcome, root cause and remedial action. Trends are reported to senior management/Board as appropriate.
11. No Retaliation
A client will not be penalised merely for raising a good-faith complaint.
Contact and Regulatory Information
Montrock Ltd is incorporated in Mauritius under Company No. 231276 GBC and is regulated by the Financial Services Commission, Mauritius (FSC) as an Investment Dealer (Full Service Dealer, Excluding Underwriting), FSC Licence No. GB25205688. Registered office: Suite 201, Level 2, The Catalyst, 40 Silicon Avenue, Cybercity, Ebene 72201, Mauritius.
Compliance enquiries: compliance@mont-rock.com
Website: https://mont-rock.com
Risk warning: Transactions in financial instruments, particularly leveraged or derivative instruments where offered, involve significant risk and may result in substantial loss. Nothing on the website constitutes a guarantee of profit or investment performance.