This policy explains how client complaints and disputes are received, recorded, investigated and resolved. Complaints may concern unauthorized trades, movement of funds or securities without consent, missing statements, excess brokerage charges, failure to follow instructions, or delayed payment or delivery.
Complaints received by email or letter are forwarded to the Head of Compliance, acknowledged and entered in a complaint register. Compliance coordinates with relevant departments and aims to resolve the matter within 15 business days while keeping the CEO informed.
If a complaint remains unresolved, the CEO reviews it directly. A trade-related dispute that cannot be settled internally may be referred to the Pakistan Stock Exchange for arbitration under Chapter 18 of the PSX Rulebook, subject to the stated filing period.
Clients may also approach the SECP or pursue a civil claim, subject to each forum’s powers. The policy lists records needed for PSX arbitration, explains the applicable arbitration structure and describes the available appeal process.
This summary is for convenience and does not replace the approved document. If there is any difference, the complete PDF governs.