Introduction
ALFRED HENRY CORPORATE FINANCE LTD is authorised and regulated by the Financial Conduct Authority (“FCA”) in the United Kingdom. We are required to have in place effective and transparent procedures for the reasonable and prompt handling of complaints. This document sets out the complaints handling procedures that we will follow in the event that you make a complaint.
Does this policy apply to you?
This policy applies to complaints we receive from our clients. Please be aware that we will endeavour to treat your complaint in a fair and efficient way.
How can you make a complaint?
You can make a complaint by any reasonable means – for example, letter, email, telephone or in person.
What will we do once we have received your complaint?
Your complaint will be referred promptly to our Compliance Officer. In the event that the Compliance Officer is involved in the subject matter of the complaint, your complaint will be referred to the CEO.
We will promptly acknowledge your complaint in writing. In this acknowledgement we will provide the name and title of the person that is handling your complaint. We have given this individual the authority necessary to investigate and settle the complaint. We will also include a copy of this policy.
Investigating and resolving your complaint
We will investigate your complaint fairly, consistently, and promptly, determine whether the complaint should be upheld, and (if appropriate) determine remedial action and/or redress. We will set out our conclusions in a final response to you. If we decide that redress is appropriate, we will aim to provide you with fair compensation for any acts or omissions for which we are responsible. If you accept our offer, we will promptly provide the compensation to you.
Our timetable for responding to you
Once we have acknowledged your complaint, we will keep you informed of our progress. Within 8 weeks of us receiving your complaint we will send you either a final response or a written response which explains why we are not in a position to make a final response to you and when we might be expected to provide one.
Closing complaints
We will regard your complaint as closed in the following circumstances:
- Once we have sent you a final response; or
- Where you have told us in writing that you accept an earlier response that we have sent to you.
Questions
If you have any questions about our complaints process, please contact:
ALFRED HENRY CORPORATE FINANCE LTD
Francis Barber House
9 Gough Square
London EC4A 3DG
Tel: +44 (0) 203 772 0021
Email: enquiries@alfredhenry.com