File a Complaint

How to file a complaint

1. 1

   Download the complaint form

   PDF, 4 pages

   Download form ↓
2. 2

   Complete and sign it

   Fill in your details, the financial instrument, the cause and a description of the complaint. Sign and date the form.

3. 3

   Email it to our Compliance team

   compliance@lunawealth.com

At Luna Wealth Asset Management Ltd (hereinafter: “LWAM” or “the Company”), we aim to provide a high standard of investment services to serve the Client’s interests in the best possible way. We understand that despite our best efforts there may be instances where a Client may not be entirely satisfied. In such cases, every effort will be made to resolve any outstanding issues in a fair and speedy way. This document outlines our procedure for the submission and handling of complaints.

Procedure

A complaint shall include:

• Complainants Full Name
• Event Date (date and time the issue arose)
• Complaint Date
• Complainants Identification (Passport or ID)
• Client Number (if applicable)
• Complainants E-mail
• Complainants Telephone Number
• Complainants Country of Residence
• Complaint Cause (pre-selected categories defined in the legislation)
• Financial Instrument (pre-selected categories defined in the legislation)
• Disputed Amount
• Transaction Number (if applicable)
• Description of the Issue

All complaints shall be treated confidentially. The complaint form found below and should be completed and submitted to compliance@lunawealth.com in order for the complaint handling process to be initiated.

• The Compliance Officer of the Company will acknowledge receipt of your complaint within five (5) days and provide you with a unique reference number related to your complaint. This unique reference number should be quoted in any future communication in relation to this complaint with the Company, the CySEC and the Financial Ombudsman. Every effort will be made to conclude the investigation and respond to the complaint within four (4) weeks of the acknowledgement of the complaint.
• If the Company requires more information from the complainant, a written response to such effect will be sent to the complainant and the four (4) weeks period will recommence after the client’s response is received by the Company.
• In case the Compliance Officer’s investigation into your complaint is not concluded within four (4) weeks following the submission of your complaint, the Compliance Officer shall inform you in writing on the investigation’s progress and shall continue to do so periodically until the complaint is resolved.
• All complaints should be resolved within eight (8) weeks of receipt of the complaint. However, if a resolution is impossible within this timeframe, a letter will be sent to the complainant eight (8) weeks after the receipt of the formal complaint explaining why the resolution was not possible and setting out the procedure envisaged to be followed thereafter. In accordance with the CySEC’s Circular C338, the whole complaint resolution procedure cannot exceed three (3) months from the submission of the complaint.

In case you are not satisfied with the outcome of the investigation into your complaint and wish to further proceed with your complaint you are encouraged to submit your complaint, with a copy of the Company’s final response, to the Financial Ombudsman of the Republic or the Cyprus Securities and Exchange Commission (CySEC).

Complaint Form

Download the complaint form ↓ (PDF)