Interactive Brokers (U.K.) Limited – Data Protection Complaints Handling Policy and Procedures Summary

For general IBUK complaints, please visit: https://www.interactivebrokers.co.uk/en/accounts/legalDocuments/complaints.php

1. Policy Statement

Interactive Brokers (U.K.) Limited (referred to as "IBUK") takes customer data protection complaints very seriously and strives to:

• Investigate each data protection complaint competently, diligently and impartially;
• Assess each complaint fairly, consistently and promptly with respect to subject matter, whether it should be upheld and what remedial action or redress may be appropriate;
• Offer redress or remedial action when appropriate;
• Explain to the complainant promptly and, in a way that is fair, clear and not misleading, its assessment of the data protection complaint, its decision on it and any offer of remedial action or redress;
• Comply promptly with any offer of remedial action or redress accepted by the data protection complainant;
• Consider data protection complaints as an opportunity to learn, adapt, improve and provide our customers a better service; and
• Increase customer confidence in our management commitment to treat them fairly.

IBUK will endeavour to resolve all data protection complaints without unnecessary delay and to keep complainants periodically updated on the progress of their data protection complaints.

2. How Customers Can Make a data Complaint

Customers are actively encouraged to use the IBUK WebTicket system for prompt attention. However, customers may file a data protection complaint by the following methods:

• By creation of a IBUK Webticket in Client Portal.
  This is the recommended method by which to create a complaint. Tickets are picked up quicker than emails and are also more secure.
  
  
  1. Logon to Client Portal
  2. Go to Help > Support Center
  3. Click "Message Center"
  4. Click "Compose"
  5. Click "New Ticket"
  6. Select "Account Services" as the category and "Complaints" as the topic
  7. Write "Complaint" as your brief description
  8. Select Account and enter your details in the field provided
  9. Submit ticket
     
     
• By sending an email to:
  privacyibukcomplaints@interactivebrokers.co.uk
  

Please note, we do not charge our customers or potential customers for investigating their complaints.

What happens with your Data Protection complaint after IBUK has received it?

Upon receipt, your data protection complaint will be forwarded to relevant staff who will investigate and assess your complaint diligently, fairly and promptly.

Once your data protection complaint has been received by IBUK, we will acknowledge receipt of your complaint by email (within 30 days).

We will initiate our investigation upon receipt, handle the matter, and resolve your complaint without undue delay. Please note that following our assessment of your complaint, the duration of our investigation may vary based on the complexity and scale of the matter. In any case, we will keep you updated on the progress of our investigation into your data protection complaint.

Once our investigation has been completed, you will be sent a final response with our findings and the outcome of your data protection complaint.

If you are dissatisfied with the final response you have received from us, you are entitled to refer your complaint to the Information Commissioner's Office ("ICO"), they can be contacted at the following:

• By telephone: Tel within the UK: 0303 123 1113
  
• Online: Make a complaint about how an organisation has used your personal information | ICO
  

You have the right to refer your complaint to the ICO, free of charge.