Complaints procedure

We are committed to providing a high quality service to all our clients.  When something goes wrong, you are entitled to complain.  This will enable us to address the matter and, where appropriate, to offer a remedy.  Your feedback will also help us to improve our standards.

We take any complaint seriously, but if you are not a client, we reserve the right to modify and possibly to exclude the operation of this procedure in all or in part.

FCA Regulated Services

Some of the services we provide are services which the Financial Conduct Authority (‘FCA’) regulates.  Our FCA Firm Reference Number (FRN) is 940166.

Your Engagement Letter will confirm whether the services we are providing to you are FCA regulated.

We provide our FCA regulated services as an Authorised Representative of our principal firm, Laven Advisors LLP, which is authorised and regulated by the FCA (FRN 447282).

Complaints about our FCA regulated services are subject to the Complaints Procedure of Laven Advisors LLP, which is available upon request.  Please address any such request to:

Non Regulated Services

Initial Steps to Resolve

  1. If you have any concerns about the non FCA regulated services you have received, please contact the person who has overall responsibility for your business or for the particular matter concerned who will endeavour to resolve your concerns promptly and fairly.

Next Steps to Resolve

  1. If the matter cannot be resolved as set out above, or if you would prefer, please contact  Duncan Black who is the Complaints Manager for Fieldfisher Capital LLP (“Complaints Manager”).  If Duncan Black is away for any material time, the Partner of Fieldfisher Capital LLP, Guy Usher, will ensure that your complaint is dealt with by an appropriate person. That person will then be the Complaints Manager for the purposes of this Complaints Procedure.

What will Happen Next

  1. The Complaints Manager will endeavour to acknowledge your complaint within 3 working days. They will send you an acknowledgment and a copy of this Complaints Procedure.
  2. We will record your complaint in a central register and open a file for your complaint.
  3. The Complaints Manager will investigate your complaint. This will normally involve them in one or more of the following steps:
    • reviewing the file and any other documents relevant to the matter to which the complaint relates;
    • interviewing and discussing the position with those concerned within the firm;
    • seeking further clarification from you.

If it seems appropriate, we may at this stage suggest a meeting to obtain further details or to discuss matters with you.

  1. The Complaints Manager will then write to you to:
    • report their findings; and
    • make proposals for resolving your complaint.

We aim to do this within 8 weeks of acknowledging your complaint.  If for any reason the 8 weeks cannot be achieved (for example, because of staff absences or because further information is required from third parties or from you), we will explain why and endeavour to agree a revised date with you.