Complaints Procedure and Compensation Sample Clauses
The Complaints Procedure and Compensation clause outlines the process by which parties can raise concerns or grievances regarding the performance of the contract and seek appropriate remedies. Typically, this clause details the steps for submitting a complaint, the timeframe for response, and the criteria for assessing compensation if the complaint is upheld. Its core function is to provide a clear, structured mechanism for resolving disputes and ensuring that parties are fairly compensated for any breaches or shortcomings, thereby promoting accountability and trust in the contractual relationship.
Complaints Procedure and Compensation. 19.1 If You have a complaint, You can contact Us via phone, email or in writing as follows: For the attention of Foresight Investor Relations Foresight Group LLP The Shard, ▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇ ▇▇▇ 020 3667 8181 ▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇.
19.2 Complaints that We are unable to settle may be referred to the Financial Ombudsman Service, which is an independent service set up to resolve disputes between customers and businesses providing financial services. The Financial Ombudsman Service can be contacted at: Exchange Tower, Harbour Exchange, London E14 9SR. Further information can be found at ▇▇▇.▇▇▇▇▇▇▇▇▇-▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇. Only complainants that are ‘retail’ clients or professional clients that are acting outside the course of their profession, trade or business will be eligible to refer their complaints to the Financial Ombudsman Service.
19.3 Foresight is covered by the Financial Services Compensation Scheme as referred to in clause 2.6 of this Customer Agreement.
Complaints Procedure and Compensation. 19.1 As an FCA regulated firm, we have a complaints procedure in place which requires us to deal fairly with any complaint we receive. If you have a complaint, you should write to the TPIM Compliance Officer, who will acknowledge receipt of your letter, investigate the circumstances and report back to you.
19.2 If you are unsatisfied with TPIM’s handling of your complaint, you may be eligible to refer your complaint to the Financial Ombudsman Service. The Financial Ombudsman Service can be contacted at: Exchange Tower, Harbour Exchange, London E14 9SR. Further information can be found at ▇▇▇.▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇.
19.3 There are two types of protection available under the Financial Services Compensation Scheme “FSCS”:
1) £85,000 deposit protection which compensates for failure of a UK authorised bank whilst money is held in it. This applies when monies are in Triple Point client accounts when that money is held for its clients and investors in connection with regulated activities such as arranging your investment in the Service. Typically, this includes monies awaiting investment and the return of proceeds from a partial or full withdrawal; and
Complaints Procedure and Compensation. 19.1 If You have a complaint, You can contact Us via phone, email or in writing as follows: For the attention of The Shard, ▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇ ▇▇▇ 020 3667 8181 ▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇.
19.2 Complaints that We are unable to settle may be referred to the Financial Ombudsman Service, which is an independent service set up to resolve disputes between customers and businesses providing financial services. The Financial Ombudsman Service can be contacted at: Exchange Tower, Harbour Exchange, London E14 9SR. Further information can be found at ▇▇▇.▇▇▇▇▇▇▇▇▇-▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇. Only complainants that are ‘retail’ clients or professional clients that are acting outside the course of their profession, trade or business will be eligible to refer their complaints to the Financial Ombudsman Service.
19.3 Foresight is covered by the Financial Services Compensation Scheme as referred to in clause 2.6 of this Customer Agreement.
Complaints Procedure and Compensation. 20.1 Should you have any complaints regarding our service you should put your concerns in writing to our Chief Executive, setting out the details of your complaint, to the following email address: ▇▇▇▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇▇.▇▇▇. You may also contact us using other contact information provided on the Platform and our website.
20.2 We will immediately carry out an independent investigation of your complaint and will provide a written response. If we cannot resolve your complaint within three (3) Business Days, we will refer your complaint to our principal firm, Resolution Compliance Limited, to complete and communicate the outcome of the investigation to you. We will aim to respond within fourteen (14) days of receipt of your written complaint with our final response. If you are not happy with the outcome of your complaint you may be entitled to refer it to the UK Financial Ombudsman Service. Further information is available from the UK Financial Ombudsman Service at ▇▇▇.▇▇▇▇▇▇▇▇▇-▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇ or by calling ▇▇▇▇ ▇▇▇ ▇▇▇▇.
20.3 We are covered by the FSCS. If we cease trading or are declared to be in default and cannot meet our obligations to you, you may be entitled to compensation from the FSCS up to a maximum of eighty five thousand pounds Sterling (£85,000) (or such other value covered from time to time by the FSCS) for investment claims. Further information about the FSCS (including the amounts covered and your potential eligibility to claim) is available at ▇▇▇.▇▇▇▇.▇▇▇.▇▇ or by calling ▇▇▇▇ ▇▇▇ ▇▇▇▇.
Complaints Procedure and Compensation. 19.1 If You have a complaint, You can contact Us via phone, email or in writing as follows: For the attention of Foresight Group LLP The Shard, ▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇ ▇▇▇ 020 3667 8181 ▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇▇@▇▇▇▇▇▇▇▇▇▇▇▇▇▇.▇▇
19.2 Complaints that We are unable to settle may be referred to the Financial Ombudsman Service, which is an independent service set up to resolve disputes between customers and businesses providing financial services.
19.3 Foresight is covered by the Financial Services Compensation Scheme as referred to in clause 2.6 of this Customer Agreement.
Complaints Procedure and Compensation. 3.1 The Subadviser operates a written procedure in accordance with FCA Rules for the consideration of complaints from its Clients.
3.2 Any complaints should be referred to the compliance officer of the Subadviser.
3.3 The Adviser acknowledges that neither it nor the Trust nor the Fund has the right to complain to the UK Financial Ombudsman Service by reason of their status as a Professional Client under the FCA Rules.
3.4 FCA-regulated business conducted by the Subadviser pursuant to the Agreement is covered by the UK Financial Services Compensation Scheme to the extent that the Trust is an Eligible Claimant. The Financial Services Compensation Scheme compensates eligible claimants for losses suffered as a result of the inability of an FCA-regulated firm to pay monies due, or satisfy obligations owed, to them (typically as a result of the firm's insolvency). However, as an open-end management investment company under the Investment Company Act of 1940, as amended (being a collective investment scheme for UK regulatory purposes) the Trust is not an eligible claimant. Accordingly, the Trust does not have the right to make claims as an eligible claimant for compensation under the Financial Services Compensation Scheme in respect of any inability of the Subadviser to satisfy a claim made against it. However, it is possible that, depending on the specific services provided to the Adviser for the benefit of the Trust, the trustees might (acting on behalf of the Trust), in some circumstances, have the right to make a claim for compensation under the Financial Services Compensation Scheme in respect of an inability of the Subadviser to satisfy a claim made against it by the Trust.
Complaints Procedure and Compensation. 31.1. If you have any complaints in relation to our Services, you can notify us using any of the following methods:
31.1.1. by following the complaints procedure made available via the Platform; or
31.1.2. by following the complaints procedure set out on the Sidekick website.
31.2. Upon receipt of your complaint, we will provide you with a prompt written acknowledgement of receipt of your complaint.
31.3. We will carry out an investigation of your complaint and will provide a written response within three Business Days of the day on which your complaint was initially received, unless your complaint cannot be resolved in this period. If we cannot resolve your complaint within three Business Days of initial receipt, we will provide a written response within four weeks of initial receipt of your written complaint to keep you informed about progress.
31.4. Notwithstanding clause 31.3, we will communicate the outcome of your complaint no later than eight weeks after the initial receipt of your written complaint.
31.5. If you are not happy with the resolution of your complaint, you may be entitled to refer it to the UK Financial Ombudsman Service. Further information can be found at www.financial- ▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇ or by calling ▇▇▇▇ ▇▇▇ ▇▇▇▇. 31.6. We are covered by the FSCS for certain Services, which means that in the event that we cease trading or are declared to be in default and cannot meet our obligations to you, you may be entitled to compensation from the FSCS up to a maximum of eighty-five thousand pounds sterling (£85,000) (or such other value covered from time to time by the FSCS) for investment claims. Further information about the FSCS (including the amounts covered and your potential eligibility to claim) is available at ▇▇▇.▇▇▇▇.▇▇▇.▇▇ or by calling ▇▇▇▇ ▇▇▇ ▇▇▇▇.
31.7. The Investment Custodian safeguards your money and Investments as part of your Third- Party Agreement with them – the equivalent scheme to FSCS in the US is called SIPC which protects capital up to the value of $500,000 regardless of where the customer of the firm is located.
31.8. If you are unhappy with the services received by any of the Third-Party Service Providers with whom you have a Third-Party Agreement in place, you must send your complaint to the relevant Third-Party Service Provider at the address set out in the Third-Party Service Agreement. They may operate a complaints process which is different in nature to Sidekick’s.
31.9. Any electronic money you hold with your E...
Complaints Procedure and Compensation. As an FCA regulated firm, we have a complaints procedure in place which requires us to deal fairly with any complaint we receive. If you have a complaint, you should write to the Triple Point Compliance Officer, who will acknowledge receipt of your letter, investigate the circumstances and report back to you.