External Complaints Policy
Great Point Investments Limited (“Great Point”) 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 received from eligible complainants.
This document sets out the complaints handling procedures that we will follow in the event that you, as an investor, make a complaint.
We will apply this policy to you if you are either a retail client or an eligible complainant. An eligible complainant is defined as:
Please note, however, that if you are not an eligible complainant you will not be able to refer your complaint to the Financial Ombudsman Service (“FOS”) if you are not satisfied with the way we have handled your complaint.
You can make a complaint by any reasonable means – for example, letter, fax, email, telephone or in person. It is free of charge to complain.
Your complaint will be referred to our Compliance Officer, Ms Kok-yee Yau, as soon as possible. In the event that the Compliance Officer is involved in the subject matter of the complaint, your complaint will be referred to another director of Great Point.
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.
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.
Once we have acknowledged your complaint we will keep you informed of our progress. Within eight 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.
If you are an eligible complainant, our response will also:
If you are an eligible complainant, you are able to refer a complaint to the FOS if you are not satisfied with the outcome of your complaint. Your rights are set out in the FOS’s leaflet Your Complaint and the Ombudsman, which we will provide to you as part of the complaints process. Please remember that if you wish to refer a complaint to the FOS, you must do so within 6 months of us sending you our final response.
We will fully cooperate with the FOS, and will promptly comply with any settlements or awards made by it.
We will regard your complaint as closed in the following circumstances:
If you have any questions about our complaints process, you can contact our Compliance Officer, Ms Kok-yee Yau in one of the following ways:
Great Point Investments Limited
14 Floral Street
020 3673 0020