Interactive Brokers Ireland Limited Summary of Complaints Handling Policy and Procedures

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1. Policy Statement
   Interactive Brokers Ireland Limited ("IBIE") takes customer complaints very seriously and strives to:
   
   
   1. Investigate each complaint competently, diligently and impartially;
   
   
   2. Assess each complaint fairly, consistently and promptly, whilst seeking to arrive at an amicable resolution that will include any remedial action and / or redress that may be appropriate;
   
   
   3. Offer redress or remedial action when appropriate;
   
   
   4. Explain to the complainant promptly and, in a way that is fair, clear and not misleading, its assessment of the complaint, its decision on it and any offer of remedial action or redress; and
   
   
   5. Comply promptly with any offer of remedial action or redress accepted by the complainant.


IBIE will endeavor to resolve all complaints within one month from the date at which the complaint was sent and to keep complainants periodically updated on the progress of their complaint. There is no charge for making a complaint.


2. What is a Complaint?
   A complaint is an expression of dissatisfaction made by or on behalf of a client to IBIE where a response or resolution is explicitly or implicitly expected by the complainant.


3. How Customers Can Make a Complaint
   Customers may file a complaint by using the following channels:
   
   
   1. By creation of a Web-ticket in Account Management
      This is the recommended method by which to create a complaint as it is more secure and will receive prompt attention once submitted by the customer.
      
      
      1. Note - This does NOT mean however that complaints logged through the other means outlined below are not handled in a timely manner.
         
         
   2. By Email
      Please note that in order to ensure that your complaint is flagged and given the required attention, we kindly ask you to state "COMPLAINT" in the subject header field of the email. Customers can use the following email addresses:
      complaints@interactivebrokers.ie
   
   
   3. By Letter
      Interactive Brokers Ireland Limited
      Complaints Handling, Compliance Department
      North Wall Quay
      Dublin D01 V4A3
      Ireland
   
   
   4. By Calling IBIE Customer Service using the telephone numbers provided on the IBIE website
      
      Please note that this method is discouraged as in most cases we will need specific information in order to investigate your complaint. While customers can lodge a complaint via the phone, we will need you to provide additional information through one of the methods described above (email, letter, ticket). When making a complaint, customers will be asked to provide the following information;
      
      
      1. name, position and contact details
      
      
      2. relationship with IBIE (e.g. account holder, broker)
      
      
      3. a contact person within IBIE if applicable (e.g. staff member customer spoke to prior to logging complaint)
      
      
      4. a written summary of the complaint (including when the conduct giving rise to the complaint occurred)
      
      
      5. copies of any documentation supporting the complaint


4. What happens with your complaint after IBIE has received it?
   Upon receipt, your complaint will be forwarded to relevant staff who will investigate and assess your complaint diligently, fairly and promptly. Once your complaint has been received by IBIE, we will acknowledge receipt of your complaint without undue delay by Web--Ticket. The Web-Ticket will provide you with information on how our complaints process works, contact details and the name of your case handler. In most cases, the investigation is concluded in less than one month, there are instances when the investigation will take longer. Should this happen we will keep you updated on the progress of your complaint and communicate with you in accordance with the Central Bank of Ireland ("CBI") rules on complaint resolution. Once our investigation has been completed you will be sent a final response with our findings and the outcome of your complaint.


5. Recourse to the FSPO's out-of-court resolutions of complaints
   Should you remain dissatisfied with our final response, you have the right to refer the complaint to the Financial Services and Pensions Ombudsman ("FSPO"), which is a statutory independent body.


6. Other information
   The Competition and Consumer Protection Commission provides a step by step guide to help you, should you wish to make a complaint against a regulated financial services provider.
   
   In addition, the CBI may decide to investigate serious or systemic general complaints about regulated financial service providers. You can contact the CBI at enquiries@centralbank.ie to notify the CBI of such cases.