Regulatory complaints concerning the way in which Turquoise operates its market or conducts its business as a Multi Lateral Trading Facility (MTF), should be addressed in writing to the Head of Legal and Compliance, 10 Paternoster Square, London EC4M 7LS, UK. All supporting documentary evidence should be included along with the complaint.

All complaints must be within the scope of the Turquoise Rules and the cause of the complaint must have occurred within 5 years from the date of making the complaint.

Turquoise management will endeavour to provide a full written response to the complaint, including an assessment and any remedial action taken, as soon as is reasonably possible but in any event, within 8 weeks of receipt of the complaint.

Confidentiality obligations may apply with respect to the outcome of investigations in certain circumstances.

Where the matter is not resolved to the satisfaction of the complainant, Turquoise will advise the complainant of the appropriate regulatory body to whom they may redirect their complaint.

Similarly, unresolved complaints against the behaviour of a Member firm, having been addressed to the Compliance Department at that Member firm, will also be redirected to the appropriate regulatory body.

The handling of complaints will be subject to governance arrangements and may be shared with the Financial Services Authority (FSA) where necessary.

Communications with Turquoise may be recorded for regulatory purposes.

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