Investor Complaint Handling

Contact Details of the person handling Investor Complains:

Asif Mumtaz Mian  – Head of Compliance

Address:        2nd Floor, Plaza 79-A, Banker Cooperative Housing Society, Lahore.

Telephone:  +92-423-5190646-9

Email:            info@ horizonsecuritieslimited.com

Pending Investor Complaints against brokerage House:

Nil

COMPLAINT REFERRED TO CHIEF COMPLIANCE OFFICER:

Whenever any client has any compliant  in connection with any trade or transaction he/she is advised to contact with Head of Compliance  and submit his/her complaint in writing along with the documentary evidences. The Head of Compliance will ensure the resolution of the compliant in shortest possible time in amicably manner.

DISPUTES TO BE REFERRED TO ARBITRATION:

Whenever any dispute arises between Brokers interse, or between any of the Brokers and their clients, or between any of the Brokers and their Authorized Agents or between Authorized Agent(s) and their clients in connection with any trade or transaction and is not otherwise settled amicably, it shall be referred to arbitration and shall be dealt with according to the procedure laid down in chapter 18 of the PSX Rule Book

APPLICATION FOR ARBITRATION:

Where a dispute cannot be settled amicably, it must be referred to arbitration. Any party to the dispute may initiate arbitration, in accordance with these Regulations by making an application in writing to the CRO. The applicant shall be required to furnish the following:

(a) Claim Form duly filled and signed by Investor or Broker or the Authorized Agent(s), as the case may be, along with all supporting documents and annexure as mentioned in the Form.

(b) In case applicant is not a Broker of the Exchange, he shall give an undertaking to abide by all these Regulations in force for the arbitration, as well as the award of the Sole Arbitrator/Panel of Arbitrators appointed under the chapter 18 of the  of these Regulations. For the further detail refer to the Chapter 18 of the PSX Rule Book

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