Compliance Policy
Complaints handling and management of conflicts of interest. The overall compliance framework is presented on Compliance & Ethics page.
This English translation is provided for convenience only. In the event of any discrepancy, the French version prevails.
Complaints handling policy
Anyone in a business relationship with AXIS FINANCE may submit a complaint in writing to contact@axis-finance.net, stating the subject of the request and the details needed to identify the relationship concerned.
| Step | Timeframe |
|---|---|
| Acknowledgement of receipt | Within 5 business days |
| Reasoned response | Within 30 business days |
| Escalation to the Compliance Committee if necessary | Depending on the nature of the complaint |
Each complaint is recorded and monitored until it is resolved, with a view to continuously improving the client protection framework.
Conflicts of interest management policy
AXIS FINANCE brings together advisory, intermediation, research and financial technology activities under a single name. This configuration calls for particular vigilance with regard to potential conflicts of interest.
- Functional and information barriers between advisory, intermediation and research activities.
- Conflicts of interest register kept by the Compliance function, recording the situations identified and the measures taken.
- Code of conduct rules applicable to employees' personal transactions, including restrictions on holding and trading financial instruments.
- Disclosure to the client before any service is provided, where a conflict of interest cannot reasonably be avoided.
- Escalation to the Compliance Committee for any situation whose handling goes beyond standard procedures.
Dedicated contact. Any question relating to compliance, complaints or conflicts of interest may be sent directly to contact@axis-finance.net.
