Name: Stephen Doherty
Address: 84 Eccleston Square, London SW1V 1PX
Any complaint verbal or written will be referred to our Complaints Management Function at the earliest opportunity.
You will receive contact from us advising on progress if we cannot respond immediately. We will let you have our final response as soon as possible and not later than eight weeks.
Clients often express dissatisfaction to their adviser about the product provider. We will need to establish whether or not your complaint relates to the advice given, the adviser service or the service or performance of the product provider. If unclear, this will not delay investigation and we will proceed with our own investigation. The Complaints Management Function will review this matter and take the complaint to the provider, if appropriate, in consultation with you.
The Complaints Management Function will establish the nature and scope of your complaint having due regards to the Financial Conduct Authority’s direction:
It is the firm’s policy to treat all complainants the same, however, eligible complainants are legally defined and have additional rights in law that we must acknowledge and adhere to.
The Financial Conduct Authority complaints rules apply to complaints:
This will set out clearly the firm’s decision and the reasons for it. If any compensation is offered a clear method of calculation will be shown.
We will include details of the Financial Ombudsman Service in the final response if dealing with an eligible complainant and a regulated activity. We will:
Complaints that can be settled to your satisfaction within 3 business days can be recorded and communicated differently.
Where we consider a complaint to be resolved to your satisfaction under this section, we will promptly send you a written communication which:
In addition to sending you a written communication, we may also use other methods to communicate the information where:
We will consider a complaint closed when we have made our final response to you. This does not prevent you from exercising any rights you may have to refer the matter to the Financial Ombudsman Service.
We will co-operate fully with the Ombudsman in resolving any complaints made against us and agree to be bound by any awards made by the Ombudsman. The firm undertakes to pay promptly any fees levied by the Ombudsman.
The Financial Ombudsman Service, Exchange Tower, London E14 9SR
Tel: 0800 023 4567 (free for most people ringing from a fixed line) or 0300 123 9123 (cheaper for those calling using a mobile) or +44 (0)20 7964 0500 (if calling from abroad)