COMPLAINTS HANDLING POLICY

1. INTRODUCTION
   Delphi Delta Investment Corporation ("the Company") is a corporation organized under New York law providing cryptocurrency margin trading and investment services from its principal office at 120 Wall Street, New York, NY 10005, United States of America. The Company operates in compliance with U.S. federal securities laws including SEC Regulation Best Interest (Reg BI), CFTC customer protection rules, and FinCEN BSA/AML requirements.

1. SCOPE AND PURPOSE
   The Company maintains effective, transparent procedures for the prompt handling of client complaints consistent with New York General Business Law § 349 and federal regulatory standards. This Policy establishes submission methods and internal processes for complaint resolution, with all records maintained per SEC recordkeeping requirements (17 CFR § 240.17a-3/4).

This Policy governs complaints regarding cryptocurrency trading services, platform functionality, execution, fees, or customer service provided to registered clients.

1. "DEFINITIONS Complaint" : A formal written expression of dissatisfaction by a client (individual or entity) concerning Company services, execution, or account handling.

Complainant: A registered client who:

• Has accepted the Client Agreement without modification
• Maintains an active Trading Account
• Submits a qualifying written complaint

Valid complaints must be submitted via:

• "Email" : compliance@delphidelta.com
• Designated Contact Form on delphidelta.com
• Registered client portal submission

General inquiries will be categorized as support requests unless reclassified by Complainant request. Verbal complaints are not accepted.

This Policy applies to all U.S. registered clients and Trading Accounts.

1. COMPLAINT HANDLING PROCEDURE
   The Compliance Department, with Support Department assistance, handles complaints efficiently. Senior Management oversees complaints involving compliance personnel.

4.1 PROCEDURE FOR VERBAL COMPLAINTS

Verbal complaints are not accepted. Personnel receiving verbal dissatisfaction must:

• Inform client of written submission requirement
• Forward subsequent written complaints to Compliance same business day
• Provide Compliance contact details
• Attempt immediate resolution where possible to avoid formal process

4.2 PROCEDURE FOR WRITTEN COMPLAINTS

4.2.1 SUBMISSION AND ACKNOWLEDGMENT
Upon receipt:

• Forwarded to Compliance Department same business day
• Acknowledgment sent to registered email within three (3) business days

4.2.2 REGISTRATION

Qualifying complaints receive:

• Unique reference number (communicated within three (3) business days)
• Process explanation including:
• Reference number for tracking
• Handling timeline (10 business days target)
• Assigned contact
• Confirmation process is free of charge
• Escalation rights

4.2.3 INFORMATION REQUIRED

Recorded details include:

• Client name/account number
• Affected transactions/dates
• Service description
• Responsible personnel/department
• Complaint substance
• Claimed financial impact
• Relevant correspondence/transaction records

4.2.4 EXAMINATION

Compliance assesses:

• Complainant facts and documentation
• Involved personnel statements
• Platform logs, execution records, communications
• Chronology of events
  Additional information requests issued if needed; client cooperation required for timely resolution.

4.2.5 RESOLUTION

Final written decision provided including:

• Findings and reasoning
• Remedial actions (if applicable)
• Right to escalate or pursue external remedies

Target resolution: 10 business days. Complex matters escalated to Senior Management with timeline extension notice.

4.2.6 DELAYS

If exceeding target timeframe, written update provided with reasons and revised completion date. Maximum internal investigation: 30 business days.

4.2.7 RECORD KEEPING

Post-resolution:

• Comprehensive electronic records maintained (complaint, investigation, resolution)
• Trending analysis for systemic issues/risk identification
• Compliance reporting per SEC/CFTC requirements

1. RECORD KEEPING OF COMPLAINTS
   All complaint records retained minimum seven (7) years post-account closure per SEC Rule 17a-4 and CFTC Regulation 1.31. Compliance Department oversees retention and audit readiness.

1. EXTERNAL ESCALATION RIGHTS
   Unresolved complaints may be escalated to:
2. SEC Office of Investor Education and Advocacy (sec.gov/complaint/tipscomplaint.shtml)
3. CFTC-RED (whistleblower.cftc.gov)
4. New York Attorney General Consumer Protection (ag.ny.gov/complaint-forms)
5. FINRA (finra.org/investors/need-help/file-complaint)
6. NFA Customer Complaint Arbitration (nfa.futures.org)

Clients retain all statutory rights under federal/state law unaffected by this Policy.

1. CONTACT INFORMATION
   Compliance Department
   Delphi Delta Investment Corporation
   120 Wall Street, New York, NY 10005
   USA
   Email: compliance@delphidelta.com

Policy effective: February 2026.

© 2026 Delphi Delta Investment Corporation. All rights reserved.