Our Commitment to You
Your experience of the services we provide is extremely important to us. Inevitably, however, there may be occasions when we fall short of the
standards you expect. In such circumstances, we are committed to dealing with your concerns fairly and effectively. Our aim is to reach a
mutually satisfactory conclusion as quickly as possible.
To assist, we have established procedures for investigating any complaint you may have with the intention of swiftly resolving any matter
while at the same time keeping you fully informed of the steps we are taking.
Who We Are
Eriswell Capital Management LLP (Firm, Eriswell Capital Management) is a London based investment management firm authorised and
regulated by the FCA since August 2008. The Firm’s FCA reference number is 481871.
As such we are required to have in place effective and transparent procedures for the reasonable and prompt handling of complaints in
relation to the services we provide.
This document sets out how we handle any complaints we receive and complies with our regulatory requirements.
How to Make a Complaint
If you are a client of Eriswell Capital Management, we would encourage you first to speak to your account manager either by calling her/him
or by sending him/her an email in an attempt to resolve your issue.
However, if that is not successful or if your complaint involves your account manager, please email us at firstname.lastname@example.org and our
compliance department will contact you directly.
What Happens Next
Your complaint will be logged in our system and a designated Eriswell Capital Management team member will be allocated to handling your
We would like to assure you that the team member handling your complaint will be an experienced member of staff and, where appropriate,
someone who was not directly involved in the matter about which you are raising a complaint. They will have the authority to settle your
complaint or will have access to someone who has such authority.
Steps Towards Resolving Your Complaint
Step 1 – the designated team member will acknowledge receipt of your complaint, either by post or by email, within 3 business days and
confirm who you should contact for further information and how you should contact them.
Step 2 – we will carry out a thorough investigation into your complaint at the conclusion of which we will prepare an incident report that will
incorporate a complete breakdown of the matter and any conclusions that we have reached. You will receive a copy of this report.
Step 3 - we will invite you to provide your comments particularly if we have omitted something that you consider of relevance to the matter.
Step 4 – Eriswell Capital Management will provide you with a final response confirming our position on your complaint and setting out our
conclusions. We, of course, anticipate being able to resolve every complaint satisfactorily but we will also provide contact details for the
Financial Ombudsman Service to enable you to escalate the matter if you are, in any way, dissatisfied (for further details, please see below).
We aim to resolve your complaint and issue our final conclusions within eight weeks of receiving your complaint.
However, in exceptional circumstances, if we cannot give you a final response within that time period, we will contact you to let you know
why not and to confirm when you can expect to receive a substantive response from us.
What Happens if You Are Not Satisfied with Our Response
If you remain dissatisfied with our final response, you may be eligible to refer your complaint to the Financial Ombudsman Service (FOS).
Although this service is free of charge, there are a number of conditions you should be aware of: -
You must contact them within six months of the date of our final response. If you do not, the FOS will not have our permission to
consider your complaint and will only be able to do so in exceptional circumstances.
The FOS only handles complaints raised by private individuals, micro-enterprises (businesses employing fewer than 10 persons whose
annual turnover and/or annual balance sheet does not exceed EUR 2 million) and charities (whose annual income is less than £1 million).
The FOS will only consider complaints about regulated products and services. This means that they can consider issues arising from
the payment services we provide but not complaints about the foreign exchange products we offer as these are unregulated.
Our regulator, the FCA, obliges us to keep a record of each complaint received and the measures taken for its resolution. We retain these
records for a minimum of three years from the date the complaint was received.
Eriswell Capital Management LLP
26-28 Molesey Road
Financial Ombudsman Service
Harbour Exchange Square