Making a Complaint

Rules & Regulations

Making a Complaint

What to do if you have a complaint

If you believe that a Listed Company or a Trading Member of AIX may have broken the Business Rules of AIX or AIX CSD, we may be able to handle your complaint.

If your complaint relates to a dispute between you and a Listed Company or a Trading Member, you should attempt in the first instance to settle the dispute directly.

How to complain to AIX

If you have a complaint which you wish to address to AIX or AIX CSD, you should put your complaint in writing, describing events in chronological order, including copies of relevant documents and giving as much detail as possible on what has happened. Your complaint should be addressed to:

Regulation & Compliance
Astana International Exchange
55/19 Mangilik El st., block C 3.4.
Nur-Sultan, Kazakhstan
[email protected]

We aim in general to provide a full response to your complaint within 20 working days of receiving it. However, if we anticipate that it may take longer to respond to your complaint, for example because we need to request information from another party, we may send you an acknowledgement letter pending the eventual substantive response. If we are unable to help, we will provide you with an explanation.

As a result of your complaint, we may start disciplinary proceedings against a Listed Company or a Trading Member. Obligations of confidentiality normally prevent us from publicising the existence, progress or outcome of regulatory matters including investigations by Regulation & Compliance into potential rule breaches. Only if a decision is taken to impose a penalty and to publicise that penalty, AIX can notify you.

We may not be able to help you if:

  • your complaint is about events which are more than six years old. This is because, under our rules, Trading Members are not required to keep transaction records for more than six years;
  • your complaint is subject to litigation or is pending before the courts;
  • your complaint is outside the scope of the Business Rules of AIX or AIX CSD. In particular, this includes the provision of investment advice and any complaint you may have about the commercial management of a Listed Company.

If we believe that the complaint should be handled by another regulatory body, we will send it to the appropriate body and let you know that we are doing so.

If you are unhappy with this response you may contact the Astana Financial Services Authority at https://afsa.aifc.kz/submit-your-complaint/