Complaints Procedure

Listening to you - Our complaints procedure

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 leaflet explains how any complaint that you may have will be dealt with by us.

How to make a complaint
Depending on the nature of your complaint, you may wish to initially address your concerns to your consultant or account executive. He or she will endeavour to deal with your complaint thoroughly and promptly. However, if they are unable to resolve your complaint within 72 hours it will automatically be referred to our compliance department.

If you wish to address your complaint directly to the compliance department then you can contact them in the following ways:

In writing:
The Compliance Manager
Brown Shipley & Co. Limited
3 Hardman Street
Manchester
M3 3HF

By telephone:
0161 214 6500

By email:
compliance@brownshipley.co.uk

We aim to resolve your complaint as soon as possible. If we are unable to resolve your complaint within five working days, we will write to let you know:


  • That we are dealing with your complaint;
  • The name, position and contact details of the person who will be looking into your complaint; and
  • When we will contact you again.

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 have the right experience, knowledge and authority.

How we will respond
We will endeavour to resolve your complaint within a timely manner and will send you a final response letter.
In the unlikely 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. At this stage we will also inform you of your right to refer the matter to the Financial Ombudsman Service.

If you are not happy with our response
We aim to resolve all complaints internally to your satisfaction. However, if we have been unable to resolve your complaint within eight weeks of receiving it, 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
South Quay Plaza
183 Marsh Wall
London
E14 9SR

By telephone:
0845 080 1800

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

The FOS offers a free independent service and can help with most complaints. However, there are some limitations on what the Service can look into.

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

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 (25 The North Colonnade, Canary Wharf, London E14 5HS) and the Prudential Regulation Authority. Registered in England and Wales No. 398426. Registered office: Founders Court,Lothbury, London EC2R 7HE. Brown Shipley’s parent company is KBL European Private Bankers which, from Luxembourg, heads a major European network of private bankers. Telephone calls may be monitored for security purposes.