Complaints Procedure

1. Introduction

Vertex1 Brokers Limited ("Vertex", "the Company", "we", "us") is committed to providing excellent service to all our clients. We take complaints seriously and view them as an opportunity to learn and improve our services.

This Complaints Handling Procedure sets out how you can make a complaint about any aspect of our services and explains how we will handle your complaint in a fair, consistent, and timely manner.

2. What is a Complaint?

A complaint is any expression of dissatisfaction, whether oral or written, and whether justified or not, from or on behalf of an eligible complainant about the Company's provision of, or failure to provide, a financial service.

2.1. Examples of Complaints

• Dissatisfaction with the quality of service received
• Concerns about the execution of trades or orders
• Issues with deposits, withdrawals, or account management
• Disputes regarding fees, charges, or account statements
• Concerns about staff conduct or communication
• Technical issues with the trading platform
• Any other matter where you feel we have not met your expectations

2.2. What is NOT a Complaint

General queries, requests for information, or routine service requests (such as password resets) are not classified as complaints. These should be directed to our Customer Support team at support@vertex1brokers.com.

3. How to Make a Complaint

You may submit a complaint through any of the following channels:

3.1. Information to Include

To help us investigate your complaint efficiently, please include:

• Your full name and trading account number (cTID)
• Your contact details (email and phone number)
• A clear description of the complaint
• Relevant dates and times
• Any supporting documentation (screenshots, trade confirmations, etc.)
• The outcome you are seeking

4. Our Complaints Handling Process

5. Response Timelines

We are committed to resolving complaints as quickly as possible. Our target timelines are:

If we are unable to provide a final response within 30 days, we will write to you explaining why and give you an estimated timeframe for resolution.

6. Internal Escalation

If you are not satisfied with the initial response to your complaint, you may request that your complaint be escalated to:

To escalate, please reply to your Final Response Letter clearly stating that you wish to escalate and explain why you remain dissatisfied.

7. Regulatory Recourse

If you are dissatisfied with our Final Response, or if we fail to resolve your complaint within the statutory timeframe, you have the right to refer the matter to the regulatory authority.

Before contacting the regulator, we strongly encourage you to complete our internal complaints process, as the FSC may require evidence that you have attempted to resolve the matter with us directly.

8. Record Keeping

We maintain comprehensive records of all complaints received, including:

• The details of the complaint
• All correspondence related to the complaint
• The actions taken to investigate and resolve the complaint
• The final outcome

These records are retained for a minimum of seven (7) years in accordance with regulatory requirements and are available for inspection by the FSC upon request.