File a complaint

COMPLAINTS POLICY AND PROCEDURE

Complaints to the Company, regardless of whether the complaint concerns the Company in general or one or more named employees, shall be processed properly and promptly.

If the complaint is received orally, the Client will be asked to confirm its complaint in writing before the complaint is processed. To avoid confusion, please make sure to state clearly that the inquiry is a complaint.

The Client shall without undue delay receive written feedback at minimum stating that the complaint has been received, that it will be processed, that the customer will be given written feedback from the Company as soon as the complaint is processed, and that it will then state what the Company will do in accordance with the complaint.

The person who receives the complaint shall, without undue delay, submit the complaint to the Company’s Compliance Officer. The Compliance Officer decides, without undue delay, how the complaint is to be processed, including facilitating the holding of an interview etc. with the named employee to whom the complaint relates, as well as assessing what steps and measures are otherwise necessary to investigate the cause of the complaint. It must be considered whether the Client should be offered to participate in a conversation with the named employee the complaint concerns.

The Compliance Officer must be present unless she considers that this is not required in the individual case. In that case, the Compliance Officer shall appoint another employee to hold the interview, possibly to investigate the reason for the complaint, etc. Minutes of such talks shall be documented.

The Compliance Officer shall ensure that the results of the Company’s internal investigations are recorded in writing, dated, and signed by the person responsible for conducting the interview or investigation. The Client shall then, without undue delay, be given written feedback that at least meets the conditions in the second paragraph of this instruction.

The entire chain of correspondence in connection with the individual complaint (complaint, confirmation of received complaint, internal assessments, etc., as well as final feedback to the Client and any follow-up correspondence) must be archived in accordance with “Instructions on storage of documentation”.

Customer complaints can be received in Norwegian, Swedish, or English.

Complaints should be directed to: cecilie@compliancenorge.no