Summary of Complaint Handling Policy

(for Canadian clients)

Purpose

ARGA Investment Management, LP (“ARGA”) is committed to handling client complaints fairly, transparently, and efficiently, in accordance with applicable regulatory standards.

What is a Complaint

A complaint is any oral or written reproach or dissatisfaction regarding the services provided by ARGA or any of its employees or concerning their conduct.

How to File a Complaint

Clients may submit complaints through any of the following channels:

  • Email: Compliance@argainvest.com
  • Phone: +1 (203) 614-0800
  • Mail: ARGA Investment Management, LP
    Attn: Compliance Department
    1010 Washington Blvd, 6th Floor, Stamford, CT 06901

You may also submit your complaint to your usual ARGA relationship contact. Our team is available to assist you throughout the process.

Additionally, if you are a resident of Québec, you may file a complaint using the form available on the Autorité des marchés financiers’s website (AMF).

Complaint Handling Process

ARGA handles all complaints objectively, efficiently, and at no cost to the complainant. The process includes the following steps:

1. Acknowledgment
We will acknowledge receipt of your complaint within 5 days of receiving it.

2. Review and Investigation
We will conduct a thorough review and may contact you for additional information. Appropriate remedial actions will be determined based on the findings.

3. Final Response
You will receive a written response within 60 days of receipt your complaint. Our response will include:

  • A summary of your complaint;
  • The results of our investigation;
  • A proposed resolution, if applicable

If exceptional circumstances prevent us from meeting this deadline, we will notify you in writing and provide an updated timeline. In any case, a final response will be issued no later than 90 days from the date of receipt.

4. Resolution and Follow-Up

If a resolution is proposed, you will be given a reasonable period to review and respond. Upon mutual agreement, ARGA will implement the resolution within 30 days, unless a different timeline is agreed upon in your best interest.

Complaint Records

ARGA maintains records of all complaints, including all relevant correspondence and supporting documentation.

You may contact us via email, telephone, letter or in person, anytime during the investigation to request an update on your complaint. We are committed to keeping you informed in clear and plain language throughout the process.

If you are a resident of Québec, you may request that your complaint file be transferred to the Autorité des marchés financiers (AMF) for review. Upon receiving your request, ARGA will forward the file to the AMF within 15 days.