Complaints Procedure

Listening to you – Our complaints procedure
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Our commitment
Brown Shipley is committed to providing the highest level of service to our clients. Unfortunately, mistakes can happen and we may fail to meet your expectations. If for any reason you are not entirely satisfied with any aspect of our service, we would like to hear from you. That way, we can make relevant enquiries, endeavour to put things right for you and improve our service.

This page explains how any complaint that you may have will be dealt with by us.
How to make a complaint

You may wish to address your concerns directly to your adviser or alternatively you may refer it to our Business Assurance team who are ultimately responsible for handling complaints. Regardless we will endeavour to deal with your complaint thoroughly and promptly.

If you wish to address your complaint directly to the Business Assurance team then you can contact them in the following ways:

In writing:
Kelvin Clough
Brown Shipley & Co. Limited
3 Hardman Street
Manchester
M3 3HF

By telephone:
0161 214 6608

By email:

Business.Assurance@brownshipley.co.uk

Investigation of your complaint

On receipt of your complaint we will undertake a full independent review. Our aim is that your complaint will be resolved as quickly as possible by staff that possess the right experience, knowledge and authority.

Where it is possible to resolve your concerns within three working days Business Assurance will subsequently write to you acknowledging your complaint and confirm the basis on which it has been resolved (this is known as a summary resolution letter). The purpose of this letter is to ensure you are satisfied with the outcome.

If we are unable to resolve your complaint within these three working days, we will write to let you know:

How we will respond
Following our investigation we will send you a final response letter confirming our decision and the rationale for this.

The majority of complaints we handle fall within the FCA’s dispute handling rules and in the event that we have not resolved your complaint at the end of eight weeks, we will write to you giving reasons for the delay and informing you when our response is likely.

Unregulated complaints, for example trusts over £1m are not beholden to regulatory timescales however we will still contact you after eight weeks if we have been unable to resolve your complaint.

Complaints relating to payment services will receive a notification letter as above after 15 working days if we have been unable to resolve your complaint within that time.

Complaints relating to data protection issues will receive a notification after 40 days if we have been unable to resolve your complaint.

We will confirm how your complaint has been categorised as part of our acknowledgement
If you are not happy with our response

We aim to resolve all complaints internally to your satisfaction. On regulated complaints if we have been unable to resolve your complaint within eight weeks of receiving it (or 15 working days for payment service complaints), or should you be unhappy with our final response, you can request a review from the Financial Ombudsman Service (“FOS”).

If you would like the FOS to look into your complaint, you should contact them within six months of the date of the final response issued to you. You can contact the FOS in the following ways:

In writing:
The Financial Ombudsman Service
Exchange Tower
London
E14 9SR

By telephone:
0800 023 4 567

By email:
complaint.info@financial-ombudsman.org.uk

Online:

An online complaint form can be found on www.financial-ombudsman.org.uk/contact-us

Further helpful information can be obtained directly from FOS or from its website www.financial-ombudsman.org.uk

Unregulated complaints are likely to fall out of the scope of FOS to investigate however we will confirm the option of referring to them so they can make a decision on jurisdiction. Complaints relating to SSAS administration are likely to come under the auspices of the Pension Ombudsman Service and we will provide their contact details on acknowledging your complaint.

Data protection complaints may fall under the jurisdiction of the Information Commissioners Office and we will confirm details on acknowledging your complaint.

Complaints about SVS Brown Shipley Funds
If you wish to complain about any aspect of the Brown Shipley Funds (i.e. any of the Brown Shipley Multi Asset Funds or Brown Shipley Sterling Bond Fund) then please, in the first instance, forward your complaint to Smith & Williamson Fund Administration Limited (trading as St Vincent St Fund Administration) who act as the Authorised Corporate Director (ACD) for the above mentioned funds.

Smith & Williamson Fund Administration Limited can be contacted:

In writing:
Smith & Williamson Fund Administration Limited
25 Moorgate
London
EC2R 6AY

By telephone:
0141 222 1151
Brown Shipley is a trading name of Brown Shipley & Co Limited, which is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Registered in England and Wales No. 398426. Registered Office: 2 Moorgate, London, EC2R 6AG. Brown Shipley’s parent company is Quintet Private Bank (Europe) S.A which, from Luxembourg, heads a major European network of private bankers.