COMPLAINT POLICY

In accordance with CSSF Regulation 16-07 and CSSF Circular 17/671 as amended, Alpha implements this Complaints Management Policy for handling the Complaints it may receive, including requests for out-of-court resolution of Complaint submitted to the CSSF.
This policy is written with the objective of being efficient and transparent, in view of the reasonable and prompt handling of Complaints in compliance with the provisions of the applicable regulations and circulars and with the aim to serve the interests of the complainant as best as possible.

A complaint is defined as a statement of dissatisfaction addressed to a firm by a natural or legal person. It can be made verbally, in writing or as an electronic communication.

This policy details:

• The process to be followed by investors who wish to lodge a Complaint
• The internal structure implemented by the Company to support the process
• The process an investor should follow to file a request for an out-of-court resolution of Complaint before the CSSF

Alpha and its employees take all Complaints seriously and handle them with objectivity, diligence and transparency.

Complaints Management Policy