We have an established complaints procedure which conforms to the Financial Conduct Authority (“FCA”) regulations for the proper handling of complaints. All complaints should be directed in the first instance to our Compliance Officer:
The Compliance Officer
LGT Wealth Management US Limited
14 Cornhill London EC3V 3NR
We will endeavour to resolve your complaint as quickly as possible. We will discuss your issue with you and attempt to resolve it. If we cannot resolve your complaint in this manner, we will pass it to a dedicated complaint handler for further investigation. We record details of your complaint centrally and make sure your complaint is thoroughly investigated by someone who has been trained in complaints handling.
If we are unable to resolve a complaint within three (3) business days of the day we received it, we will issue you with a written acknowledgment together with a copy of our internal complaints handling procedure and provide you with regular updates as to our progress with our investigation into your complaint.
Within eight weeks of receiving your complaint we will send you one of the following two responses:
an interim written response which will explain why we are not in a position to make a final response and indicate when we expect to be able to provide you with one. This letter will also inform you that you may be able to refer your complaint to the Financial Ombudsman Service and will include a copy of the Financial Ombudsman Service’s standard explanatory leaflet.
Details of our complaints handling procedure are available on request.
The Financial Ombudsman Service may be contacted on 0800 0234 567 or at www.financial-ombudsman.org.uk. The address of the Financial Ombudsman Service is Exchange Tower, Harbour Exchange Square, London E14 9SR. Complaining to the Financial Ombudsman Service will not affect your rights. In general, you have six months from the date of our final response to refer your complaint to the Financial Ombudsman Service.
We are covered by the Financial Services Compensation Scheme (FSCS). Compensation may be available from the FSCS if we are unable to meet our obligations to you. Your possible entitlement to compensation will depend on the type of business and the circumstances of the claim. Most types of investment business are covered for £85,000 per person per firm. For information about the FSCS and details of your eligibility for compensation and applicable differing levels of cover, please refer to www.fscs.org.uk/what-we-cover or call them on 0800 678 1100. Please note call charges may vary.