Purpose

This process provides information to Clients (“Clients” or “you” or “your”) of TP ICAP (“TP ICAP” or “we” or “us” or “our”) who wish to register a complaint. We value our relationship with our Clients and it’s important that we can help resolve any issues you may have. That’s why we are committed to supporting your experience in a way which is fair, clear and not misleading. Therefore we encourage you to let us know if you are not satisfied with any of the services or products that we provide. If you have a complaint about any of our services, please share your concerns right away so we can help you and resolve your complaint as quickly as possible.

Scope

This process applies to any Client of TP ICAP who is not satisfied with the service provided in our capacity as an FCA regulated institution. If an order has been sent to TP ICAP for execution via an affiliated TP ICAP entity, you should contact the relevant TP ICAP affiliate who will liaise with TP ICAP on your behalf.

How do you file your complaint?

If a Client wishes to make a formal complaint, the notification must be made via email or letter to TP ICAP’s Compliance Department and include the information stated below:

Contact address:

Email: complaints@tpicap.com
Letter: Head of Compliance, 135 Bishopsgate, London EC2M 3TP

Information to include:

• Name of the Client and the name of Client’s contact person
• Client’s contact details: postal address, e-mail address and telephone number(s)
• Information regarding your complaint: date, service, product, issue, trade references
• The name of your TP ICAP sales representative or contact person.

Version 1.0, 28 March 2018

1.1 Our commitment

1.1.1. TP ICAP group supports fundamental principles of human rights across all our lines of business and in each region of the world in which we operate. TP ICAP’s respect for the protection and preservation of human rights is guided by the principles set forth in the United Nations Universal Declaration of Human Rights. In addition, we support the UN Guiding Principles on Business and Human Rights. This includes implementing our obligations. We have a defined set of values that underpin everything we do. We are known in the market for our honesty, integrity and excellence in the provision of service to our clients. Above all else, we respect our clients and each other, without bias.

1.1.2. TP ICAP complies with applicable international and local legal requirements in the countries in which we operate.

1.1.3. TP ICAP also looks to promote best practice through its supply chain and uses the UK’s Modern Slavery Act as a basis to help hold our suppliers accountable through regular checks and attestations in relation to Human Rights (see our Procurement and Modern Slavery statement).

1.1.4. TP ICAP is committed to promoting a responsible employee environment respecting the human rights of our employees through our internal employment policies and practices. As part of our broad effort to ensure that respect for human rights is integrated into the business of the firm, TP ICAP has adopted policies and procedures designed to ensure compliance with legal requirements and which seek to prevent our products and services from being used for improper purposes. Such policies and procedures include those contained in our Code of Conduct, our Anti-Corruption, Anti-Money Laundering, Anti-Bribery, and Know Your Customer and counter-terror financing policies.

1.1.5. TP ICAP is dedicated to exemplifying good corporate citizenship through our commitment to respecting human rights and through our broader commitment to corporate responsibility generally.