Complaints Handling Policy

1. About Sustainable Finance Initiative & New Impact Society

Sustainable Finance Initiative (“SFi”) is an Asian homegrown community of private investors who believe in Capital that Matters.

Our mission is to mobilize private capital for positive impact.

We empower family offices, private investors and financial services professionals with knowledge and expertise to invest for purpose and profit.

Incubated by RS Group (a Hong Kong-based family office focused on sustainability) in 2018
Member Network of Asian based family offices and investors
Leveraging on over a decade of experience in sustainable investing

Education has been a strong pillar of the SFi from its incubation by the RS Group, through to its establishment and growth in the Hong Kong and Asia Pacific sustainable finance ecosystem.

New Impact Society is the educational arm of the Sustainable Finance Initiative and is focused on addressing the sustainable finance talent and skills gaps in Hong Kong and Asia Pacific.

Our education platform covers a wide range of sustainable finance content especially focused on professionals looking to pivot their careers into the sustainable finance space. Our courses are taught by practitioners in the field of sustainable finance today and we focus on practical learning pathways into sustainable finance.

Our courses are built for busy professionals with robust digital and livestreamed learning opportunities. We’re focused on helping professionals upskill in sustainable finance using scalable, digital learning platforms using a flexible curriculum designed for learning on the go.

2. Purpose

2.1 Sustainable Finance Initiative (“SFi”) owns and manages the education platform, New Impact Society.

2.2 SFi is committed to providing high-quality educational products and services which provide professionals with the skills for the sustainable finance sector. This policy document (” Complaints Handling Policy”) has been created to ensure that complaints relating to the educational products and/ or services provided by SFi can be easily communicated and that such complaints are dealt with in a proper and professional manner.

3. Scope

3.1 This Complaints Handling Policy is applicable to all complaints relating to all educational products and services owns and managed and/ or provided by SFi via New Impact Society.

3.2 The Complaints Handling Policy sets out the channels and procedures for customers or stakeholders to express their dissatisfaction regarding SFi’s management New Impact Society educational products and services.

4. Complaint Channels

4.1 Various channels are available to enable customers or other stakeholders to lodge their opinions on SFI’s educational products and services:

a) Formal Complaints

4.2 SFi has set up formal channels for lodging complaints. Customers and/ or other stakeholders may register their complaints by: (a) Post/ mail: 21/F Greatmany Centre, 109-115 Queens Road East, Wan Chai, Hong Kong (b) E-mail: info@sustainablefinance.hk

b) Informal Complaints

4.3 In addition to the formal channels detailed above, informal complaints may also be communicated to SFi via: (a) in person or by phone or e-mail (b) SFi’s general hotline or by filling out the ‘Contact Us’ form on New Impact Society’s website (www.newimpactsociety.com)

4.4 At a minimum, the following information should be provided by the complainant to ensure that an initial investigation of and response to the complaint can be made: (a) Full name of the complainant (b) Company name (if applicable) (c) Complainant’s contact details (d) Relevant educational product/ service (e) Details of the complaint

5. Procedure

5.1 SFi has an internal complaint handling procedure in place to ensure that complaints are managed in a timely and fair manner.

5.2 Complaints will be assigned to and handled by an independent case manager.

5.3 Relevant internal experts (legal, regulatory compliance, etc.) will be consulted as appropriate.

5.4 For formal complaints or where an initial/ immediate resolution is not possible, the complainant will be sent written acknowledgement that the complaint has been received and is being handled.

5.5 To the extent possible, the complainant will be advised of the estimated timeframe and expectations regarding next steps. The complainant will also be given a clear point/ channel of contact and be reasonably updated throughout the process.

5.6 In the event that the complainant is not satisfied with the proposed resolution, the case may be escalated to an appropriate forum (e.g. the SFi Education Advisory Committee) as determined by Managing Partner of SFi. The complainant will be notified of the final decision made by the forum.

5.7 The complainant will receive confirmation of any closure action and/ or outcome of investigations made.

5.8 Documents relating to the complaint, including those submitted by the complainant as well as SFI’s own records, will be retained for a minimum of five years, subject to applicable corporate and national legal or regulatory requirements

6. Contact Information

Sustainable Finance Initiative Limited Address: 21/F 109-115 Queens Road East, Wan Chai, Hong Kong Hotline: +852 3703 3472 (Mon - Fri 8:45am - 6pm) Website: www.newimpactsociety.com E-mail: info@sustainablefinance.hk