Complaints Policy

Mocean Capital takes feedback seriously and your satisfaction is important to us. We have procedures in place to resolve any concerns you may have, promptly and fairly. and we have procedures in place to resolve any concerns promptly and fairly. This policy is intended to provide you with an overview of how to submit a complaint, the process you can expect and important timeframes for resolving and escalating matters. A complaint is an expression of dissatisfaction made to or about us, related to our products, services, staff or our handling of a complaint, where a response or resolution is explicitly or implicitly expected or legally required.

How to submit a complaint

You may wish to firstly submit your complaint directly with your advisor. If your adviser is not able to satisfactorily resolve your complaint, please contact us on info@mocean-limited.com. For any written complaints please send it to:

Mocean Limited
Suite 23C, 33 Des Voeux Road West,
Sheung Wan, Hong Kong

Attn: Complaints Officer

When making your complaint please tell us:

  • Your name

  • How you wish us to contact you (for example, by phone, email)

  • What your complaint is about; and

  • What you are seeking to resolve your complaint

If you need help to make a complaint

If you need help to make or manage your complaint, you can appoint someone (for example, a relative or friend) to represent you. Please note that we will need your authority to speak to any representative that you appoint.

Responding to Standard Complaints

Unless you have informed us otherwise, the form of communication used to respond to your complaint will typically reflect the way it was received. If your complaint cannot be resolved within a reasonable timeframe, Mocean Capital will investigate further. You will receive a formal response to your complaint typically informing you of the outcome of your complaint, be it confirmation of resolution or reasons why the complaint was rejected or partially rejected. We are not required to provide you with a formal response if:

  • Your complaint has been resolved to your satisfaction; and

  • You have received an explanation of apology where no further action could be taken to address the complaint.

There may be reasonable circumstances for complaints not having been resolved within the relevant timeframe. This may be due to the complexity of the complaint, or a delay in receiving necessary information to finalise our investigations.