Rockhold Asset Management Ltd Customer Complaints Procedure

Introduction

At Rockhold Asset Management Limited we always aim to provide the highest possible levels of service. However, we appreciate that there may be occasions when clients consider that we have fallen short in this aim and decide to raise a complaint. We view complaints as an opportunity for learning what we as an organisation can do to help our clients, managing client expectation and delivering to those expectations without error and in a friendly way. This document summarises our formal process for handling complaints.

Making a complaint

If you have a complaint about the service that you have received we ask that, in the first instance, you or your financial adviser contact our Compliance Officer.

The Compliance Officer’s contact details are:

Email: enquiries@rockholdinvest.co.uk

Post:  Rockhold Asset Management Limited

Brookdale Centre

Manchester Road

Knutsford

Cheshire

WA16 0SR

Telephone: 01565 658 850

Our Complaints procedure

We aim to resolve all complaints in a timely and efficient manner. If your complaint is resolved to your satisfaction within three business days from receipt, we will send you a Summary Resolution Communication.

Where we anticipate that the matter will take longer than 3 business days to resolve, we will send you an acknowledgement letter and a copy of our complaints procedure promptly upon receipt of your complaint. There may be some occasions when we will need to ask you for more information, before the complaint investigation can proceed. Your complaint will be investigated by a nominated complaint handler, who will be sufficiently impartial and unbiased. This will involve gathering all documents and information necessary to establish a clear understanding of the chain of events. If the complaint cannot be readily resolved we will contact you to give an update on our progress and an estimated time to resolution.

We will provide you with a final decision on our findings within 8 weeks of receipt or, failing that, an explanation as to why we have not been able to do so and an indication of when you can expect a final response. In our final response we will provide you with details of the Financial Ombudsman Service (see below) and either:

• Uphold the complaint and where appropriate offer redress or propose remedial action;
• Offer redress or propose remedial action without upholding the complaint; and/or
• Reject the complaint and explain the reasons for this.

Please be advised that the Financial Ombudsman will not generally review complaints which relate solely to investment performance. However, we are happy to explain the logic behind the choices that were made and the reasons for the subsequent performance.

Where we become reasonably satisfied that a third party may be solely or jointly responsible for the matter under investigation, we may forward the complaint, or the relevant part of it, to that third party. Where we decide that this is the most appropriate course of action, we will act promptly and will inform you of our actions accordingly.

Financial Ombudsman Service

If you are unhappy with the outcome of our investigation, you can ask the Financial Ombudsman Service to review the matter. The Financial Ombudsman Service is there to help settle disputes between consumers and businesses providing financial services.

Their contact details are:

Financial Ombudsman Service

Exchange Tower

London

E14 9SR

Phone: 0300 123 9123

Email: complaint.info@financial-ombudsman.org.uk

More information is also available on their website: www.financial-ombudsman.org.uk

Alternative Dispute Resolution and civil action

You may be able to refer your complaint to an alternative dispute resolution entity or take civil action. However, we hope that you would discuss your concerns with us in the first instance.

Treating customers fairly

All correspondence will be clear and written in plain English. We will include copies of relevant documentation with our response if we think this may help (e.g. text from a brochure or the website)

Management information

We send details of all the complaints we have received to our regulator, the Financial Conduct Authority. We review all complaints to identify any improvements we can make to our service and periodically conduct root cause analysis in order to identify common causes of complaints.

For more information call 01565 658 840 or visit www.lyncwealth.co.uk.