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Rockhold Asset Management Ltd Customer Complaints Procedure

Introduction

At Rockhold Asset Management we always aim to provide the highest possible levels of service. Even so, we appreciate that there may be occasions when clients have a complaint and formal procedures, summarised in this document, have been established to deal with this eventuality. These procedures seek to respond in a fair and impartial way to clients and other connected parties, who express dissatisfaction about our firm’s provision of, or failure to provide, a financial service.

Contact Information

If you have a complaint with the way that we have provided, or have failed to provide, a financial service we ask that, in the first instance, you contact the Compliance Officer at the following address either by letter or telephone to outline your concerns. Rockhold Asset Management Ltd, Brookdale Centre, Manchester Road, Knutsford, WA16 0SR Tel: 01565 658840.

Rockhold Complaints Procedure

  1. We will send a prompt written acknowledgement of your complaint, usually within 5 business days of receipt. If the nature of the complaint is unclear, we may telephone or write to you to clarify the area(s) of concern.
  2. We will then carry out a full investigation by gathering the information needed to properly review your complaint. This may mean that we will ask you for more information or papers to assist us in the investigation. Gathering all the facts and paperwork enables us to consider all the information available at the one time, which is in the best interests of reviewing a complaint comprehensively. If we do need to request details from you, we therefore ask that you respond as fully and as soon as possible.
  3. The complaint may be the responsibility either wholly or in part of another firm. In these circumstances we will promptly refer the complaint to the other firm, inform you of this fact together with the other firm’s contact details. We will also confirm that we are either investigating matters further or issue a final decision letter.
  4. We will endeavour to fully investigate your complaint and respond to you within 8 weeks of receipt. During this time, we will keep you informed of the progress of the measures being taken to resolve your complaint.
  5. If we are still unable to respond within eight weeks, we will write to you again to advise why and provide information on the Financial Ombudsman Service, which is an independent dispute resolution service, to whom you may be able to refer your complaint.
  6. Once we have all the information needed, we will consider the complaint fairly and impartially and provide a written response indicating our decision. Depending upon the nature of the investigation and the time that has lapsed since receipt of the investigation, the letter will consist of either of our initial view or a final decision. If the letter takes the form of our initial view, we will inform you of this and you may accept our view or reject it, in which case we will re visit your complaint in light of any additional comments made.
  7. We will use our best endeavours to ensure our correspondence with you is in plain language that is easy to understand and is provided without undue delay.

What Happens Next?

If you do not respond to our written response within 4 weeks, we will treat the complaint as closed. If your complaint is not resolved to your satisfaction, then you may be entitled to refer your complaint to the Financial Ombudsman Service (subject to eligibility). In our final decision letter, we will always provide you with full information about how to do this.

Further Information

If you require any clarification on our complaint procedure, please contact the Compliance Officer at the address above in writing or by phone.

Financial Ombudsman Service

The Financial Ombudsman Service is an independent dispute resolution service who you may approach if you are dissatisfied with the way in which we are handling your complaint and/or your complaint has not been resolved to your satisfaction. You may contact the Financial Ombudsman Service: by telephone on 0800 0234567 or 0300 1239123 or, from outside the UK, on +44 20 7964 0500; by mail to The Financial Ombudsman Service, Exchange Tower, LONDON, E14 9SR; or by Email to Complaint.info@financial-ombudsman.org.uk The Financial Ombudsman’s website can be found at www.financial-ombudsman.org.uk.

Rockhold Asset Management Ltd

31 May 2024