Complaints and Compensation. If you have a complaint of any kind, please be sure to let us know. We will do our utmost to resolve the issue. You can put your complaint in writing to us at:
Complaints and Compensation. If you have a complaint in respect of our discretionary investment management service, you should in the first instance write to your Investment Manager or to our Head of Compliance and Risk at our Registered Office. Complaints we cannot settle can be referred to The FSA. However, please be aware that they will review the complaint from a purely regulatory perspective and will not act as either Arbitrator or Ombudsman. Any detail you provide will be for their information only. In addition you have the right, following receipt of a final response from us to refer your grievance, should you be remain dissatisfied to the Financial Services Ombudsman Scheme for the Isle of Man. Written details of the scheme can be provided upon request.
Complaints and Compensation. All formal complaints should in the first instance be made in writing to us for the attention of the Compliance Officer, at our stated address stated address. Complaints will be dealt with in accordance with the FCA Rules. An explanation of the compensation arrangements available to you under the Financial Services Compensation Scheme, if any, established under Section 213 of the Act for compensating persons in cases where we are unable, or are likely to be unable, to satisfy any claims against us, is available on request.
Complaints and Compensation. 9.1 The following compensation arrangements apply to you:
a. Should you have a complaint, please contact Client Services, pursuant to clause 29 of Part 1 of this Client Agreement;
b. You may lodge a complaint against us or any claim for compensation with ASIC, ASX, NSX, SIM VSE ASX Clear, ASX Settlement or AFCA.
Complaints and Compensation. 18.1 The Portfolio Manager has established procedures in accordance with the FCA Rules for consideration of complaints. Details of these procedures are available on request. Should you have a complaint, you should contact the Portfolio Manager in the first instance. If the Portfolio Manager cannot resolve the complaint to your satisfaction, you may be entitled to refer it to the Financial Ombudsman Service. Terms & Conditions
18.2 The Custodian participates in the Financial Service Compensation Scheme, established under the FSMA, which provides compensation to certain eligible retail clients in the event of a firm being unable to meet its customer liabilities. Payments under this scheme are limited (to a maximum of £85,000 as at October 2019).
18.3 Further information is available from the Financial Services Compensation Scheme at 10th Floor, Beaufort House, 00 Xx Xxxxxxx Xxxxxx, Xxxxxx XX0X 0XX or at xxx.xxxx.xxx.xx.
Complaints and Compensation. 20.1 If you are not satisfied with any element of the services provided by us, you should write to us at the address in paragraph 13.1, and it will be dealt with according to our complaints procedure. A copy of our complaints procedure is available on request.
20.2 If you are not satisfied with our reply to your complaint you can refer your complaint to either The Financial Ombudsman Service (FOS) or the Pensions Ombudsman. Complaining to either of these organisations will not affect your right to take legal proceedings.
20.3 Where your unresolved complaint concerns the administration of your SIPP you should in the first instance direct your complaint to The Pensions Ombudsman, who are an independent organisation who will adjudicate between you and us on your complaint of maladministration. They can be contacted at: The Pensions Ombudsman 00 Xxxxxxxx Xxxx London SW1V 1RB Tel: 0000 000 0000 Email: xxxxxxxxx@xxxxxxxx-xxxxxxxxx.xxx.xx Web address: xxx.xxxxxxxx-xxxxxxxxx.xxx.xx
20.4 Where your unresolved complaint concerns the marketing or the Terms and Conditions of our SIPP you should in the first instance direct your complaint to the FOS, who provide consumers with a free independent service for resolving disputes with financial firms. They can be contacted at: The Financial Ombudsman Service Exchange Tower London E14 9SR Tel: 0000 000 0000 Email: xxxxxxxxx.xxxx@xxxxxxxxx-xxxxxxxxx.xxx.xx Web address: xxx.xxxxxxxxx-xxxxxxxx.xxx.xx
20.5 We are covered by the Financial Services Compensation Scheme (FSCS). This means that if we become insolvent you may be able to claim compensation. Further details are available on request from the FSCS at: The Financial Services Compensation Scheme 10th Floor Beaufort House 00 Xx Xxxxxxx Xxxxxx Xxxxxx EC3A 7QU Tel: 0000 000 0000 Email: xxxxxxxxx@xxxx.xxx.xx Web address: xxx.xxxx.xxx.xx
20.6 For free help and advice regarding your pension, you can also
Complaints and Compensation. (a) In the event that the Client is dissatisfied with the service it receives from CESL or any Affiliate Company, the Client should make its complaint in writing to the Compliance Officer of CESL at the address in Section 25, including as many details as possible, including the type of Transaction, price, date, time, amount involved and any similar information.
(b) CESL participates in the Financial Services Compensation Scheme. The Client may be entitled to compensation from the scheme if CESL cannot meet its obligations. Whether the Client enjoys protection from the Financial Services Compensation Scheme will depend on the type of business that the Client carries out and the circumstances of the claim. This means that professional clients and eligible counterparties may not be eligible claimants.
Complaints and Compensation. Complaints
(a) We have an established complaints procedure which conforms to the FCA Rules for the proper handling of complaints. If you wish to see a copy of our Internal Complaints Handling Procedure please contact us (our contact details are at section 10(j) (How to contact us)).
(b) If you have any complaints regarding our services, you should contact us (our contact details are at section 10(j) (How to contact us)). Alternatively you can contact our customer relations team via email at xxxxxxxx_xxxxxxxxx@xxxxxxxxxxxx.xxx. We will discuss your issue with you and attempt to resolve it.
(c) If we cannot resolve your complaint in this manner we will pass it to a dedicated complaint handler for further investigation.
(d) We record details of your complaint centrally and make sure your complaint is thoroughly investigated by someone who has been trained in complaints handling.
(e) If we are unable to resolve a complaint within three business days of the day we received it, we will issue you with a written acknowledgment together with a copy of our Internal Complaints Handling Procedure and provide you with regular updates as to our progress with our investigation into
(f) Within eight weeks of receiving your complaint we will send you one of the following two responses:
(i) a final written response in which either: we offer you a remedy, whether or not we accept your complaint; or we reject your complaint and give you our reasons for doing so. This letter will include a copy of the Financial Ombudsman Service’s standard explanatory leaflet and inform you that if you remain dissatisfied with our response, you may be able to refer your complaint to the Financial Ombudsman within six months; or
(ii) an interim written response which will explain why we are not in a position to make a final response, and indicate when we expect to be able to provide you with one. This letter will also inform you that you may be able to refer your complaint to the Financial Ombudsman Service and will include a copy of the Financial Ombudsman Service’s standard explanatory leaflet.
(g) The Financial Ombudsman Service is an independent service with powers under FSMA to resolve disputes between customers and business providing financial services. This service is free to consumer. Further information about the Financial Ombudsman Service may be found at is xxx.xxxxxxxxx-xxxxxxxxx.xxx.xx.
(h) Complaining to the Financial Ombudsman Service will not affect your rights. In general, you ...
Complaints and Compensation. 18.1 The Fund Manager has established procedures in accordance with the FCA Rules for consideration of complaints. Details of these procedures are available from the Fund Manager on request. Should an Investor have a complaint, they should contact the Fund Manager. If the Fund Manager cannot resolve the complaint to the satisfaction of the Investor, the Investor is entitled to refer it to the Financial Ombudsman Service.
18.2 The Fund Manager is obliged to notify the Investor, and hereby does so, that an Investor may have a right to compensation under the Financial Services Compensation Scheme, established under the Financial Services and Markets Xxx 0000, which provides compensation to eligible investors in the event of a firm being unable to meet its customer liabilities. Payments under the protected investment business scheme are currently limited to a maximum of £50,000, made up of 100% of the first £50,000 of the claim. Further information is available from the Fund Manager on request.
Complaints and Compensation. 18.1. Xxxxxx has established procedures in accordance with the FCA rules for consideration of complaints. Details of these procedures are available from it on request. Should you have a complaint, you should contact Xxxxxx.
18.2. The protections offered by the FCA do not apply to the Fund or the Investments and compensation under the UK investor compensation scheme may not be available in the event of the failure of the Fund.
