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Intro

We have implemented a Complaints Management Policy to ensure that we handle client or potential client complaints promptly, easily and in a transparent manner. The Complaints Management Function at our Firm is responsible for investigating all complaints received by a client or potential client and employees should immediately direct any complaints to this person.

How to make a complaint

A complaint or issue of dissatisfaction should be submitted to the firm, free of charge, in the following ways to the firm’s Complaints Management Function.

In writing to: Complaints Management Function at The Light Bulb Unit: LU 3.10, 1 Filament Walk, Wandsworth, London SW18 4GQ

Your complaint letter can also be sent electronically to your Omba contact person.

How we deal with your complaint

On receipt of your communication we will undertake an assessment as to whether this is a complaint and should be handled in line with our internal complaints policy.

We will provide written acknowledgement of your complaint promptly and will keep you informed of our progress in reviewing your complaint.

  • We will ensure that we investigate the complaints competently and diligently.
  • We will review the complaint impartially and will ensure that we seek additional information where necessary. Our assessment of the complaint will be made promptly, fairly and consistently.
  • We will review the subject matter of the complaint and assess whether the complaint should be upheld.
  • We will assess the remedial action or redress that is appropriate if the complaint is upheld and will also assess whether another respondent party who is solely or jointly responsible for the issue raised within the complaint. Where the offer of remedial action or redress is accepted, we will ensure that we comply with the terms of this.
  • We will report MiFID complaints from professional clients and eligible counterparties in addition to all retail clients (which includes eligible complainants) to the regulator.

Timeline

If we resolve your complaint within three business days we will provide you with a written summary resolution which will contain details as to how you can escalate your complaint to the Financial Ombudsman Service (“FOS”), if applicable, and should you be dissatisfied with our resolution.

Within our written resolution we will provide details as to any findings we have made as a result of our investigation into your complaint and whether any remedial action will be taken by ourselves. We will ask you to confirm if you are satisfied with our conclusion.

If you are not satisfied with our conclusion we will not close your complaint and will continue to seek resolution.

If we feel your complaint requires further review and we cannot respond to you with a resolution within three business days we will inform you of this. We will provide you with details of who is responsible for handling your complaint at the firm as they will provide you with updates.

We will provide you with a written Final Response Letter within eight weeks of the date of your original complaint. Within this letter we will provide details as to any findings we have made as a result of our investigation into your complaint and whether any remedial action will be taken by ourselves. We will ask you to confirm if you are satisfied with our conclusion.

The Financial Ombudsman Service (FOS)

You may raise your complaint to the FOS if you feel dissatisfied with our resolution. There are set time limits in which you are able to raise your complaint to the FOS and we will provide these time limits within our final response.

Address The Financial Ombudsman Service
Exchange Tower
London E14 9SR
Email complaint.info@financial-ombudsman.org.uk
Telephone 0800 023 4 567 or 0300 123 9 123
More information http://www.financial-ombudsman.org.uk/
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