Stage 1
We will send you a written or electronic acknowledgment of a complaint within 24 Hours of receiving it. A dedicated executive will be assigned to handle the complaint and their contact details will be provided in the acknowledgment. All complaints will be recorded, including the date of the complaint was raised and details of when you were updated.
Stage 2
Upon receipt of the escalated complaint, we will execute a full audit of communications between you and the advisor in question. This includes but is not limited to emails, telephone conversations, letters, and voicemail. We aim to get back to you within 5 working days with an outcome and you will be updated every 2 working days until the complaint is fully resolved.
Stage 3
If you’re not satisfied with the resolution of your complaint, or you’re not happy with how we’ve dealt with things, we will carry out an internal review of your case. We’ll look into how we’ve handled it and the resolution offered. We will let you know what the outcome of the review is and the reasons for our decision. We will normally take less than 2 working days to carry out the review but in the absence of new evidence or material flaws being evident in our findings, it is unlikely to change the outcome of our investigation.
We will send you a final resolution which adequately addresses the complaint no later than eight weeks from receiving a complaint.
The resolution of your complaint might include actions to put our mistake right, an apology, an explanation, or compensation depending on the severity of the complaint and whether the complaint was caused by a genuine error or malpractice/negligence, the advisor will receive documented training or be disciplined in line with the company’s disciplinary process.