Complaints Policy

Lawson Fox Complaints Procedure

1. INTRODUCTION

What are the complaints-handling rules that our business has to follow?

The compliant handling rules are set out by The Financial Ombudsman Authority FOS.

These procedures are designed to ensure that Complaints are handled fairly, effectively and promptly, and resolved at the earliest possible opportunity by the Company, thus minimising the number of complaints referred to the FOS

2. TRAINING

When joining all staff, must attend an induction course that includes an overview of the complaints handling procedures. 

Staff must then read the Complaints Handling Procedures and sign and date a Complaint Procedures Confirmation Form to confirm understanding.  This must then be returned to the HR Department who will retain a copy on your training file.

Lawson Fox expects you to maintain your level of knowledge and will therefore regularly check your understanding and competency in this area.  To ensure you are kept up to date with any changes Lawson Fox will email you bulletins where necessary which you must acknowledge.

3. THE RULES

All staff must refer to the availability of the Internal Complaint Handling Procedures at, or immediately after the point of sale.  The issuing of a Terms of Business, will meet this requirement.  A copy of the Internal Complaint Handling Procedures must also be supplied to anyone requesting it.  

If you receive a complaint you must act promptly within the strict timescales set within Section 5 ‘What happens if I get a Complaint?’

4. WHAT IS A COMPLAINT

A complaint is defined as an ‘expression of dissatisfaction, whether oral or written, and whether justified or not, from or on behalf of an eligible complainant about a firm’s provision of or failure to provide a service.

Examples of what might constitute a complaint are listed below: –

• Misleading information has been given;
• Advertising material was misleading;
• Poor advice has been given;
• Suffered a financial loss;
• Confidential information has been disclosed;
• Administration errors
• Poor service provided.

If you are unsure or require further guidance on what is a complaint, please contact your manager. In the event of a manager not being available please contact Lawson Fox Managing Director; Kirk Calvert.

5. WHAT HAPPENS IF I GET A COMPLAINT?

When a customer contacts the company to make a complaint the following procedure must be followed:

Step 1: Informal Resolution – within 24hrs

The employee will attempt to resolve the complaint to the satisfaction of the client. If they are unable to do so the complaint must be referred to their team leader, who will also try resolve the complaint. If the team leader cannot resolve the complaint this must be referred to the complaints officer who will handle this until Senior Management sign off.

Step 2: Formal Complaint lodged by client 

The Complaints Officer will write to the client within 5 working days to:

• enter data onto the compliant log
• acknowledge their complaint
• explain that we will conduct an investigation into their complaint
• explain that we will endeavor to respond within 4 weeks 

If we are unable to come to a conclusion within 4 weeks we will write to the client to keep them updated and advise them that we will reach a conclusion within a further 4 weeks. 

If we do not respond to the client within 8 weeks or they are dissatisfied with the outcome they can go to step 3.

Step 3: Referral to the Financial Ombudsman & The Solicitors Regulation Authority. 

If, at any time, you believe our service to you could be improved, or if you are dissatisfied with any aspect of our service, you should raise the matter with the us in writing to Lawson Fox, Conway House, Warwick Court, Middleton, M24 1EA. We will address your concerns as promptly and carefully as possible and do all that we can to explain the position to you. However, if we are unable to satisfy your concerns you have the right to address your complaint to The Financial Ombudsman Service at South Quay Plaza 183 Marsh Wall London E14 9SR Telephone Number 0800 0 234 567.

https://insolvency-practitioners.org.uk/regulation-and-guidance/complaints-procedure/