Guidelines for complaint handling

The Compliance Department of Beringer Finance treats all complaints, which must be in writing and sent by email to compliance@beringerfinance.com or by ordinary mail to:

Beringer Finance AS
Attn: Compliance
PO Box 1502, Vika
N-0117 Oslo

Employees who receive a complaint shall not answer the complaint, but immediately forward the complaint to the Compliance Department.

When processing complaints, the Compliance Department will:

  1. Obtain all relevant information and make comprehensive assessment of the complaint.
  2. Communicate with complainants in a clear language.
  3. Answer the complainant without undue delay. If answer cannot be given within the expected time for reply, the complainant shall be informed of the reason for this and when the case is expected to be concluded.

Decisions that are not fully in favor of the complainant will be justified in writing. Complainants may bring the matter before the Norwegian Securities Dealers Association’s Ethics Council.

Beringer Finance will record all complaints in a separate register and analyze the information received to determine whether the complaints are due to systematic or fundamental problems in Beringer Finance.