Regulatory

Complaints

DBRS Morningstar has an established process for complaints received from external parties regarding credit ratings opinions, Methodologies and its adherence to securities laws, rating and compliance policies and procedures. Complaints are subject to standard intake, evaluation and remediation processes and may be made on a confidential or anonymous basis.

Complaints will be investigated according to the Company's standard procedures and a written response will be provided in due course, in cases where the identity of the complainant has been provided.

Submit a Complaint

Anyone may report a complaint regarding DBRS Morningstar or tips alleging a violation of legal or regulatory obligations as follows:

Mail
DBRS Morningstar Global Chief Compliance Officer
140 Broadway, 43rd floor
New York, New York 10005
United States
Email
creditcompliance@morningstar.com
Anonymous Report Form
www.integrity-helpline.com/morn.jsp
Phone

The Morningstar, Inc Ethics hotline: 800-555-8316

Tips alleging that an Issuer of Securities rated by DBRS Morningstar has committed or is committing a material violation of the law may be referred to an appropriate law enforcement or regulatory body as required by statute.

Need Help?

If you have any questions, please contact us here or via one of the following methods:

Zulema Aragones Monjas
Global Chief Compliance Officer - Compliance
+34 919 03 65 01
Guy Calo
Regional Compliance Officer & Regulatory Counsel - Global Compliance
+1 212 806 3262