Client Complaints Handling Policy

This Policy is established in accordance with the applicable rules and regulations of the UAE Securities and Commodities Authority (SCA) and relevant conduct of business requirements.

Dominion Financial Services L.L.C (“the Company”) is committed to handling all client complaints fairly, transparently, and promptly. Complaints are treated seriously and used as an opportunity to improve services and internal processes.

As a Category 5 Introducing Broker, the Company handles complaints relating to:

• Client onboarding
• Communication and service quality
• Referral and introduction services

The Company does not handle complaints related to trading, execution, custody, or account management, as these services are provided by third-party financial institutions.

A complaint is any expression of dissatisfaction, whether written or verbal, from or on behalf of a client, where a response or resolution is expected.

Clients may submit complaints through the following official channels:

• Email: complaints@dominionmarkets.ae
• Support Email: support@dominionmarkets.ae
• Telephone: +971 4 570 4324

All complaints, including verbal complaints, will be formally recorded and handled in accordance with this Policy.

Acknowledgement

• Initial acknowledgement within 48 hours of receipt
• Formal written acknowledgement within 5 business days

Investigation

• Complaints are investigated in a fair, objective, and independent manner
• All relevant records, communications, and documentation are reviewed
• All complaints are handled under the oversight of the Compliance Officer

Final Response

• A final written response will be provided within 30 calendar days from the date of receipt
• Where delays occur, the client will be informed of the reasons and expected timeframe

• If the complaint is upheld, appropriate corrective action will be taken, which may include remedial measures or compensation where applicable
• If the complaint is not upheld, a clear and reasoned explanation will be provided

If the client is not satisfied with the outcome of the complaint, they have the right to escalate the matter to the UAE Securities and Commodities Authority (SCA) in accordance with applicable regulatory procedures.

• All complaints are recorded in a Complaints Register
• Records are maintained for a minimum of 10 years
• Complaints are periodically reviewed to identify trends and improve internal processes

The overall responsibility for complaints handling lies with the Compliance Officer, with oversight from Senior Management and the Board of Directors.

To submit a complaint, please download and complete the Client Complaint Form, then send it to us by email at complaints@dominionmarkets.ae.