Complaints Notice

Herring Global is committed to providing high-quality services. If a client is dissatisfied for any reason and wishes to make a complaint, Herring Global will endeavour to resolve complaints promptly and fairly. This procedure covers all complaints related to Herring Global's products and services, including those from Herring Global Markets Inc's counterparties.

Complaints incur no fees, and all information provided is treated as confidential. You will not face any retaliation for filing a complaint.

1. How to Submit a Complaint

Counterparties may submit complaints via:

2. Acknowledgment of Complaint

Within two business days of receiving your complaint, we will:

  • Assign a unique reference number.
  • Provide the name and contact details of the Complaints Officer (an independent team member not involved in delivering the service at issue).
  • Give an estimated timeline for resolution.

You will also be informed what to expect next and how to follow up.

3. Investigation Process

Initial Review

Our Complaints Officer will gather all relevant information (e.g., transaction records, communication logs, supporting documents) and assess the complaint's merits.

Ongoing Communication

We maintain clear communication throughout the process, providing updates at key milestones.

If additional information is needed from you or other departments, we will request it promptly to avoid unnecessary delays.

For complex complaints requiring more time, we will issue an interim response in writing, explaining the delay and giving an indicative timeframe for our final reply.

4. Resolution and Response

We aim to complete our investigation and send a final response within 20 business days of acknowledgment. Our written response will include:

  1. A summary of your complaint and the issues raised.
  2. Our findings and the evidence considered.
  3. Our decision (upheld, partially upheld, or rejected) with written reasons if the complaint is rejected.
  4. Remedial actions or compensation offered, where applicable (e.g., refunds, account adjustments, procedural changes).

If we cannot resolve your complaint within 20 business days, we will notify you in writing, explain the reasons for delay, and provide a revised timeline (no later than 40 business days unless exceptional circumstances apply).

Complaints incur no fees, and all information provided is treated as confidential. You will not face any retaliation for filing a complaint.