Complaints Handling Procedure

1. We want to hear from you

If any part of your experience with us falls short, we want to know, so we can put it right and improve. This procedure explains how we handle a complaint from start to finish. It is free to make a complaint, and making one will not affect how we treat you.

2. Who can complain

Any client or applicant can complain. A representative can complain on your behalf if we have seen proof of their authority; we may need to confirm it with you before we share anything with them.

3. How to complain

Email ir@rocklakecapital.com with the subject line “Complaint”. You can also write to us at MT Capital Markets Ltd, Artemis House, 67 Fort Street, George Town, Grand Cayman KY1-1111, Cayman Islands. An existing client can also raise a complaint through a message in the client portal. Please include your name, your account details, what happened, and what outcome you're looking for.

If you need help making a complaint, or would like us to communicate with you in a different way, tell us and we will make reasonable adjustments.

4. What happens next

• We aim to acknowledge your complaint within two business days of receiving it.
• A member of our compliance team, who was not involved in the matter you're complaining about, investigates it.
• We may contact you for more information while we look into it.
• We aim to send you a written response setting out our findings and any resolution as quickly as we reasonably can, and will keep you updated if it's going to take longer than expected.

5. If we can't resolve it straight away

Some complaints take longer to investigate properly than others. Where that's the case, we will tell you why, and give you a realistic timeframe for our response. You can ask for an update at any point.

6. Our response

Our final response will say whether we uphold your complaint, explain why, and set out what we will do about it. Where we have got something wrong, that may include an explanation, an apology, correcting an error or putting right a loss that we caused.

7. If you're not satisfied with our response

If you disagree with our final response, or we haven't resolved your complaint within a reasonable time, you may be able to raise the matter with the Cayman Islands Monetary Authority (CIMA). Details of how to do so are available from the regulator directly. If your complaint is about how we handle your personal data, you may complain to the Cayman Islands Ombudsman. This procedure does not limit your right to take independent legal advice or to bring a claim in court.

8. Records

We keep a record of complaints we receive, including how each was resolved, and review these periodically to identify anything we should improve about the Platform or our processes.

9. Contact

MT Capital Markets Ltd, Artemis House, 67 Fort Street, George Town, Grand Cayman KY1-1111, Cayman Islands. Email: ir@rocklakecapital.com.