Client advocacy

Introduction

Fineco has a series of mechanisms to ensure the streamlined and thorough management and handling of complaints and claims both from clients and from third parties with whom it is on trading terms.
These mechanisms aim to ensure efficiency, good coordination and secure communications, and are periodically overseen and audited both internally and by independent experts.

Customer Service Department

As required by applicable legislation, the Fineco Group has a fully independent Department with suitable human, technical and organizational resources, whose purpose is to conduct discussions with clients and third parties. As the Regulations for Investor Advocacy and Protection describe, this Department/Unit has no powers to settle claims; its function is to conduct discussions with the client, handling and progressing claims or complaints that the client's rights and interests have been prejudiced in the course of receiving financial services from any company in the Group (art. 13).

The Fineco Group's Customer Service Department and the Group's owner company are both registered with the National Securities Market Commission; details are available on the Commission's official website www.cnmv.es. In addition, any communication or claim can be dealt with via any of the following channels:

Contact Details:
Address: Plza. Federico Moyúa 4-2ª Planta
48009 BILBAO
Office hours: M-F; 9:00 - 19:00
Department Head: Amaia Carrera
Contact channels:
Tel.: +34 94 4000 300
Fax: +34 94 4000 343
Email: atencionalcliente@fineco.com

Client Advocate

As required by applicable legislation, the Client Advocate is available to persons with claims. The Client Advocate is an independent third party with wide professional experience and of recognized prestige. S/he is appointed by, and registered with, the National Securities Market Commission, and can be approached via the official page www.cnmv.es.

Regulations for Client Advocacy

As required by applicable legislation, clients and third parties have available to them the Regulations for Client Advocacy, which they can download in .pdf format (Adobe Acrobat) or request in paper form from the Customer Service Department.

Procedure for Customer Advocacy

The Fineco Group informs its clients that the Procedure for Client Advocacy is available to them on request from the Customer Service Department.

Official Bodies

In addition to the above, there are other bodies of an official nature which any investor can approach according to the service in question, to raise any issue in regard to his/her rights and interests:

• Investor Service Department of the National Securities Market Commission(www.cnmv.es): amongst other services, this office provides the information and assistance needed to be able to act confidently in the securities markets. That being so, it has an enquiries and claims department which handles issues arising from the services and products provided by both Sociedad de Valores Fineco SV, S.A., and GIIC Fineco S.G.I.I.C., S.A., Collective Investment Institution Management Company.

Madrid address: Paseo de la Castellana, 19
28046 Madrid
Office hours: M-F; 9:00 - 19:00
Contact channels: Tel.: 902 149 200
Fax: +34 91 585 17 01
Email: inversores@cnmv.es

Barcelona address: Passeig de Gràcia, 19
08007 Barcelona
Office hours: M-F; 9:00 - 19:00
Contact channels: Tel.: 902 149 200
Fax: +34 93 304 73 10
Email: inversores@cnmv.es

• Contact office of the Basque Government’s Department for Justice, Employment and Social Security (www.euskadi.net): for any claim with regard to the practice of pension funding, the Basque Government makes a contact address available to citizens on its website.

Address: Donostia-San Sebastián, 1
01010 Vitoria - Gasteiz (Araba)
Contact channels: Tel.: 945 019 350
Fax: +34 945 019 415
Email: epsv@ej-gv.es

• Claims Department of the Directorate-General for Insurance and Pension Funds. For any enquiry or claim in connection with the services offered by the Fineco Group in the matter of pension funds, the Directorate-General for Insurance and Pension Funds makes the relevant contact address available to citizens.