Customer Complaints Policy

This policy is effective from the 01 July 2015 and supersedes all customer complaints policies previously issued by us.

We recognise the importance of service and set ourselves high standards. Should there be an occasion when we do not meet your expectations, we are equally committed to dealing with any complaint in a thorough and professional manner.

What will we consider as a complaint?

We consider a complaint to be any oral or written notification of dissatisfaction about a service we have provided, offered or withheld.

Who can make a complaint?

A complaint can be made by any client, or potential client, to whom we have provided a service, or by a representative acting lawfully on their behalf.

How can you make a complaint?

You can make a complaint by contacting us by any of the following means:-
• In writing addressed to the Compliance & Training Manager
• By email addressed to n.rawlings@hayesparsons.co.uk
• By telephone on 0117 929 9381

Acknowledging your complaint

We will acknowledge your complaint promptly following receipt in our office. If you have made your complaint to us orally, we will confirm to you our understanding of this in writing and ask you to advise us if you do not agree. We will also provide details of our company’s Customer Complaints Procedure.

Investigating your complaint

Your complaint will be investigated by our Compliance and Training Manager, or a senior officer of the company who is not directly or indirectly the subject matter of the complaint.

In order to reach a fair conclusion, we will review the relevant information available to us, which will include all records on our files along with a report from the individual to whom the complaint relates.

We will endeavour to complete our investigation and reach a conclusion as soon as is possible. The length of time this will take will be determined by the complexity of the complaint and the extent of the investigation required. In any event, we will report to you on progress as outlined below:
We aim to send you our final response letter within 8 weeks of receiving your complaint. However, if we have been unable to complete our investigation and issue a final response letter to you, we will write explaining why we are still not in a position to make a final response. This will give reasons for a further delay, indicating when we expect to be able to make a final response.

Financial Ombudsman Service

If you are an eligible complainant for the purposes of the Financial Ombudsman Service (FOS), we will also inform you that you may, at this stage, refer your complaint to the FOS (www.financial-ombudsman.org.uk) if you are dissatisfied with the delay. We will provide you with a copy of the FOS explanatory leaflet with our letter advising you of the delay in completing our investigation of your complaint.

Eligible complainants include
• all consumer customers;
• commercial customers with an annual business turnover and/or balance sheet value of less than €2m, with fewer than 10 employees;
• charities with an annual turnover of less than £1m
• trusts which have a net asset value of less than £1m

Providing our final response letter

Once we have completed our investigation, we will write to you setting out the results of this and explain our conclusion.

Should you not be satisfied with the final response, and you are an eligible complainant as described above, you have the right to refer your complaint to the FOS, free of charge, but you must do so within 6 months of the date of this letter. If you do not refer your complaint in time, the Ombudsman will not have our permission to consider your complaint and so will only be able to do so in very limited circumstances where, for example, it believes the delay was as a result of exceptional circumstances.

A copy of the FOS explanatory booklet which explains the FOS will be enclosed with our final response letter

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