Complaints Policy

COMPLAINTS POLICY

Last Updated: December 2025

1. Introduction

Karl Finance LLP (“Karl Finance“, “we“, “us“, or “our“) is committed to providing a high standard of service to all investors and prospective investors in The Amplitude Fund.

If you are dissatisfied with any aspect of our service, we want to hear from you. This policy explains how to make a complaint and how we will handle it.

2. Regulatory Context

The Amplitude Fund (Falcon Hybrid SPC – The Amplitude Fund SP) is managed by Falcon Investment Management Ltd (“Falcon“), which is authorised and regulated by the Financial Conduct Authority (FCA) as a Full Scope Alternative Investment Fund Manager (FRN: 673552).

Falcon is responsible for ensuring complaints are handled in accordance with the FCA’s Dispute Resolution: Complaints sourcebook (DISP). Karl Finance operates under Falcon’s regulatory umbrella and follows the same complaints procedures.

3. What Is a Complaint?

A complaint is any expression of dissatisfaction, whether oral or written, about:

• The provision of, or failure to provide, a financial service or product
• The conduct of Karl Finance, Falcon, or their staff
• Any aspect of the management or administration of The Amplitude Fund

4. Who Can Complain?

Under FCA rules, the following persons are “eligible complainants” entitled to have their complaint considered under this procedure and, if unresolved, referred to the Financial Ombudsman Service:

• Consumers (individuals acting outside their trade, business, or profession)
• Micro-enterprises (businesses with fewer than 10 employees and turnover/assets under €2 million)
• Small businesses (businesses with annual turnover under £6.5 million and fewer than 50 employees, or balance sheet under £5 million)
• Charities with annual income under £6.5 million
• Trustees of trusts with net asset value under £5 million

Note: The Amplitude Fund is only available to Professional Investors. Many Professional Investors will not qualify as eligible complainants. However, we will treat all complaints seriously and follow this procedure regardless of eligibility status.

5. How to Make a Complaint

You may submit a complaint by any of the following methods:

By Email
info@karl.finance

By Post
Complaints Officer
Karl Finance LLP
167-169, The Fifth Floor, Great Portland Street, London, UK, W1W 5PF

By Telephone
tel: (44) 20 3488 2555

When submitting a complaint, please provide:

• Your name and contact details
• Your relationship to the Fund (e.g., investor, prospective investor, intermediary)
• A clear description of your complaint
• Any relevant dates, documents, or correspondence
• The outcome you are seeking

6. How We Handle Complaints

Acknowledgement
We will acknowledge your complaint promptly, and in any event within 5 business days of receipt. The acknowledgement will confirm:

• The name of the person handling your complaint
• A summary of our complaints procedure
• That you may be entitled to refer the complaint to the Financial Ombudsman Service if we cannot resolve it

Investigation
We will investigate your complaint fairly, consistently, and promptly. This may involve:

• Reviewing relevant records and correspondence
• Speaking with staff involved
• Consulting with Falcon’s Compliance team where appropriate

Resolution
We aim to resolve complaints as quickly as possible. We will send you a final response:

• Within 8 weeks of receiving your complaint, or
• Earlier if we are able to resolve the matter sooner

Our final response will:

• Summarise your complaint
• Explain the outcome of our investigation
• Set out any remedial action or redress we are offering
• Inform you of your right to refer the matter to the Financial Ombudsman Service if you are dissatisfied

7. If You Remain Dissatisfied

If you are an eligible complainant and are not satisfied with our final response (or if 8 weeks have passed without a final response), you may refer your complaint to the Financial Ombudsman Service (FOS).

The FOS is a free, independent service for resolving disputes between consumers and financial services firms.

You must refer your complaint to the FOS within 6 months of receiving our final response.

Note: The FOS may not be able to consider complaints from all Professional Investors. If you are unsure whether you are an eligible complainant, the FOS can advise you.

8. Complaints to Falcon

If your complaint relates specifically to Falcon Investment Management Ltd’s conduct as AIFM, you may also contact Falcon directly:

Compliance Officer
Falcon Investment Management Ltd
64 North Row, London, W1K 7DA
Email: compliance@falconcapital.co.uk
Telephone: +44 20 3827 0275

Falcon will handle such complaints in accordance with its own FCA-compliant complaints procedure.

9. Record Keeping

We maintain records of all complaints received, including:

• The nature of the complaint
• The outcome and any redress offered
• The time taken to resolve the complaint

These records are retained for a minimum of 5 years and are available for review by the FCA or Falcon’s Compliance team.

10. Continuous Improvement

We analyse complaints data to identify trends and root causes. Where appropriate, we use this information to improve our products, services, and processes.

11. Contact Us

If you have any questions about this policy, please contact:

Karl Finance LLP
Email: info@karl.finance