The following summary outlines the procedures adopted by Alkemia SGR S.p.A. for the handling of complaints.

The Company aims to address and resolve complaints in a manner that is efficient, effective, and consistent with principles of professionalism and fairness

Please note that a Complaint may be submitted through the following channels:

• In the event of dissatisfaction with the collective asset management and/or investment services provided by Alkemia SGR S.p.A.;
• In relation to the conduct of employees and/or external collaborators, or in the event of an omission or harm/discomfort suffered, possibly followed by a compensation claim;
• due to malfunctions of IT systems, including websites and mobile applications, in terms of accessibility.

The complaint must include:

• the identifying details of the complainant (including full name, tax identification number, and address), as well as, where applicable, the identifying details of any authorized representative submitting the complaint on behalf of the complainant, accompanied by a copy of the relevant authorization or power of attorney;
• Identification documents of the complainant and, where applicable, of the authorized representative submitting the complaint;
• the factual and legal grounds underpinning the complaint;
• the signature of the complainant or authorized representative.

How to Submit a Complaint to the SGR

Submit a Complaint via:

• By mail or hand delivery to Alkemia SGR S.p.A.– Piazza Cavour 4 – 35122 Padua;
• Via certified email (PEC) to alkemia@pec.alkemiacapital.it (attaching a PDF copy of the identity document);

Alkemia SGR will provide a written response promptly and, in any case, within 60 days

Legal Remedies

In the event that you are not satisfied with the response provided by the SGR, or have not received a response, please be advised that under applicable law you are entitled to refer the matter to the following authorities:

Financial Disputes Arbitration Board (ACF)

An entity established within Consob by resolution no. 19602 dated 4 May 2016, published in the Official Gazette of the Italian Republic no. 116 on 19 May 2016, responsible for resolving disputes between retail investors and intermediaries regarding investment services and activities, particularly concerning the SGR’s compliance with obligations of diligence, fairness, information, and transparency imposed by applicable regulations when providing collective asset management services.

It is possible to refer disputes to the ACF involving claims for amounts less than five hundred thousand euros, provided that no other out-of-court dispute resolution procedures are pending regarding the same facts, or that a prior complaint was submitted to the intermediary who either provided an unsatisfactory response or failed to respond within 60 days following the complaint submission.

The right to refer disputes to the Arbitration Board cannot be waived by the investor and remains exercisable at all times, even in the presence of contractual clauses assigning dispute resolution to other out-of-court bodies.

The submission of the appeal takes place online through the ACF website (www.acf.consob.it), to which the Company has adhered through the trade association Assogestioni. Registration on the site is required, and once credentials are obtained, users can access the reserved area and submit the appeal. For further information, please refer to the website www.acf.consob.it.

Before initiating legal action, please note that it is mandatory to attempt to reach an amicable agreement and to undergo the ‘mediation attempt’ through the aforementioned ACF. Finally, we remind you that, for the purposes of fulfilling the mandatory mediation attempt, it is also possible to contact other mediation bodies registered in the specific Register of the Ministry of Justice. The list of mediation bodies is available on the website www.giustizia.it.

Online Dispute Resolution – ODR

In implementation of EU Regulation No. 524/2013 of 21 May 2013, the platform established by the European Union for the out-of-court resolution of disputes related to products or services sold online (Online Dispute Resolution – ODR) is operational. The following link provides access to the platform.