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Communications Policy

HYCM Limited is a firm licensed and regulated by the DFSA to undertake the financial services activity of arranging deals in investments. It is important for you to know that we are not authorised to give you advice or recommendations as to whether a particular investment or other product is suitable for you.

As a DFSA regulated firm, we are required to comply with the DIFC Regulatory Law 2004 and the DFSA's Rulebook relating to record keeping and voice and electronic communications. Among other things, this means it is necessary for us to make and keep recordings of calls that you have with our employees, together with records of any electronic communications, such as emails, that we exchange with you. To this end we feel that it is important to explain to you how our employees will communicate with you going forward and to tell you about our communications policy, which is designed to ensure that we can properly monitor whether you are being communicated with in the manner you are entitled to expect from us.

1. Recorded telephone calls: We are is required to record and retain recordings of all voice and electronic communications with you and to otherwise ensure that communications with you only relate to the financial services we are authorised to provide to you. Therefore we will seek to ensure wherever possible that all communications between you and employees of the Firm are recorded.

2. Office hours communications (9:00am to 6:00pm) (landlines): During office hours, you can expect your relationship manager to contact you or receive your calls through the landline telephones in our office which are linked to our call recording system.

3. Office hours communications (9:00am to 6:00pm) (mobile phones):

  • Where our employees are present in the office and you contact them on their mobile phones, your calls will be diverted to their landline telephone to enable the call to be recorded.
  • Where our employee is out of the office and is contacted by you on his or her mobile phone he or she may advise you that they will return the call from a landline telephone. Where this is not possible, our employee will make a written note of your call and what you discussed. Where you have spoken to one of our employees on their mobile phone, we may occasionally contact you to ask whether you agree that the note that they made of the call is accurate. We hope not to inconvenience you when contacting you for this purpose and do so only to check that the service you are being given meets the high standards we expect from our employees.
  • Where the call relates to an issue other than IT or technical support, the call will be confirmed by an email sent to you at the email address provided by you when registering with the Firm.

4. Out of office hours communications: Out of office hours you will have the following options:

  • If you feel that your issue can only be resolved by speaking with your Relationship Manager, or if our UK Customer Service team has been unable to assist you, you will still be able to contact your Relationship Manager directly by mobile phone. We would expect such calls to be made in office hours where possible, however if you are unable to resolve the matter via the Sales Support Team and your request is genuinely urgent, you may contact your Relationship Manager directly by mobile phone. Where the call relates to an issue other than for IT or technical support, a written note of the call will be made and confirmed by an email sent to you at the address provided when registering with us. Again, we may occasionally contact you to ask whether you agree that the note that has been made of the call is accurate.