In line with the Financial Conduct Authority rules regarding complaint handling, this document summarises Hawke Financial Services LLP Complaint Handling Procedure.
Definition
We define a complaint as any written or oral expression of dissatisfaction, concerning a service or activity relating to regulated financial services offered by Hawke Financial Services, whether justified or not.
How to make a complaint
Complaints may be made to Hawke Financial Services by the following means:
- By Telephone: 0208 660 8613
- By Email: robin@hawkefs.com
- In person to your advisor or any other Hawke Financial Services employee
- In writing to our address below:
Hawke Financial Services
79 Croydon Road, Caterham, Surrey, CR3 6PD. Please provide us with your name, address, contact telephone number and account reference number together with full details of your complaint.
Our commitment to you
Following receipt of a complaint, we will endeavour to respond to the complainant as soon as possible. A nominated individual within the organisation will be responsible for ensuring that your complaint is recorded and handled promptly. In circumstances where an immediate and final response is not possible, we will endeavour to issue a reply within five working days. If a final response cannot be issued within five working days (typically this may be because further details are required, or reports or information are awaited from third parties), an acknowledgement letter will be sent, indicating when a full response will be provided, along
with the name of the person handling the complaint, together with this summary of our Complaint Handling Procedure.
A communication may be sent by email if the original complaint was received by email. The complaint will be dealt with by someone of sufficient experience, competency and authority. In case the complainant is not satisfied by our final response it will be escalated to someone else with higher standing that will not have been involved in the original matter under dispute. Within four weeks of the complaint, Hawke Financial Services will send the complainant either a final response or a further holding response, explaining why it is unable to provide a final response.
In the unlikely event that Hawke Financial Services cannot send a final response to the complainant within eight weeks of the complaint, it will provide a further holding response that stipulates the reasons for the further delay and indicates when it expects to provide a final response. Hawke Financial Services will provide any complainant with fair compensation for any acts or omissions for which it is responsible and comply with any consequent offers of redress that the complainant accepts. A complainant may also have the right to take their complaint to the Financial Ombudsman Service if they are not satisfied by our final response. If so, we will send an explanatory leaflet about the Financial Ombudsman Service within eight weeks of receipt of the complaint or with our final response. The complainant may have a right of complaint to the Financial Ombudsman Service within six months from the date of the final response letter.
The Financial Ombudsman Service can be contacted at:
The Financial Ombudsman Service
Exchange Tower
London
E14 9SR
Telephone: 0800 023 4567 and 0300 123 9123
Email: complaint.info@financial-ombudsman.org.uk
Should you require further clarification of our complaint handling procedure, please contact us using the details provided above.
