What is your issue reporting process in the event of an error?

Our policy is to take the utmost care in executing trades on behalf of our clients. To the extent that trade errors occur, we seek to ensure that our clients best interests are served when correcting such errors and that the client will be reimbursed for any loss caused by our error. We have adopted trade error procedures to guide the resolution of, and to help prevent the reoccurrence of, such errors. If it appears that a trade error has occurred, we will review all relevant facts and circumstances to determine an appropriate course of action. The following escalation process is applied: the incident is detected by the relevant party and reported to the compliance team that ensures that appropriate corrective actions have been initiated. The compliance team carries out a complete analysis and provides a subsequent report that references date of detection, date of occurrence, date of resolution, client account impacted, facts and causes of the error etc.