Our Policies: Complaints policy



Rowan Dartington & Co Ltd always aims to provide the highest standard of service to its clients but on occasions we may fall short of this goal and a client may express dissatisfaction.

When we receive any letter, fax, email, telephone call or personal communication which expresses dissatisfaction about services which we have provided or failed to provide, we will attempt to resolve the matter promptly and fairly.

Acknowledgement of Complaints

Whether you complain during a telephone conversation or meeting, in a letter, email or other communication, we will record your concerns and pass the details to our Compliance Department for investigation. You will receive an acknowledgement from us within five business days, detailing our understanding of your concerns and confirming the ‘next steps’.

Investigation and Resolution

The Compliance Department will investigate your complaint and attempt to resolve it as quickly as possible. You may be asked to provide additional information to assist in this process.

We aim always to resolve complaints within eight weeks and we will attempt to issue you with a final response during this time. If we are unable to resolve your concerns within 8 weeks, a letter explaining why we are not in a position to make a final response and when this can be expected will be sent to you. This letter will also inform you of your right to refer your complaint to the Financial Ombudsman Service, if applicable.

The final response will set out the facts that have been established during the investigation and any resolution to be offered (which may include financial compensation), if any, taking into consideration:

  • Fair compensation for actual or potential financial loss;
  • Any reasonable costs you have claimed; and
  • Lost Interest which could have accrued since the date on which the loss was suffered.

Your rights

An eligible complainant (who has not been classed as an “Opted Up Professional Client or Eligible Counterparty”) has a right to refer a complaint directly to the Financial Ombudsman Service but only after we have had an opportunity to consider it and/or eight weeks have elapsed since the date of the complaint. An eligible complainant is defined as:

  • A private individual;
  • A business which employs fewer than 10 persons, and has a turnover or annual balance sheet less than €2 million;
  • A charity which has annual income of less than £1 million; or
  • A trustee of a trust that has net assets of less than £1 million.

More information on the Financial Ombudsmen Service can be found here: http://www.financial-ombudsman.org.uk


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©2017 Rowan Dartington Wealth Management & Stockbroking Services

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