Making a Complaint
If you are dissatisfied with any aspect of the service you have received from Third Platform Services Limited (hereinafter “TPS” or the “Firm”), you should, in the first instance, raise the matter with your usual TPS relationship manager. If, following such referral, the matter is not resolved to your satisfaction you may either notify the individual concerned that you wish to make a complaint or you can, instead, refer the matter to the Firm’s Complaints Manager, whose details are provided below.
You may make a complaint by phone, email or otherwise in writing as you prefer.
Key considerations
On receipt of your complaint, TPS will endeavour to resolve the matter as quickly as possible and to this end the Firm will:
▪ respond promptly on initial receipt of your complaint and, thereafter, ensure that you are kept promptly and fully informed on the progress of the Firm’s investigation of the matter; and
▪ assign responsibility for investigating your complaint to a senior individual within the Firm who does not have direct day-to-day involvement in the provision of the service to which the matter relates.
Complaints Management
The individual appointed by TPS for dealing with and management of Client complaints (the “Complaints Manager”) is the Firm’s Compliance Officer, whose contact details are as follows:
Michael Collins
Compliance Officer
Third Platform Services Limited
Birchin Court, 20 Birchin Lane
London EC3V 9DU
Email: michael.collins@thirdfin.co.uk
Telephone: 020 7135 2870
Complaints Handling Procedures
On receipt of your complaint, TPS’ personnel will immediately refer the matter to the Complaints Manager for consideration. The Complaints Manager will obtain an initial briefing from the individual staff member who received the complaint in order to obtain a preliminary overview of the matter. Thereafter, investigation of the complaint and all related communications with you will be undertaken exclusively by the Complaints Manager and will entail the following steps:
i. Issuance of an initial letter of acknowledgement. This letter will be issued as soon as possible, but in any event, within 5 business days of receipt of the complaint by the Firm;
ii. Conducting a diligent and impartial investigation of the complaint, taking into account all the evidence available, the particular circumstances of the complaint, and obtaining additional information as necessary;
iii. Making a fair, consistent and prompt assessment of:
a. The subject matter of the complaint;
b. Whether the complaint should be upheld;
c. What remedial action and/or redress may be appropriate; and
d. If appropriate, whether a third party may be responsible for the matter to which the complaint relates.
iv. Ensuring you are kept fully informed of the progress of the Firm’s investigation. All communications will be undertaken in plain language which is easy to understand;
v. On conclusion of the investigation, a final response letter will be issued advising whether your complaint has been upheld and, if appropriate, any proposed remedial action to be taken and/or redress to be paid. This final letter will also provide full details of the Financial Ombudsman Service to which you can refer your complaint in the event that you are dissatisfied with TPS’ response, together with details of the time limit for making such a referral;
vi. Further details about the Financial Ombudsman Service (“FOS” or the “Ombudsman”) can be found at: www.financial-ombudsman.org.uk;
vi. Where your complaint is upheld by TPS and an offer of redress is made, which you subsequently accept, the Complaints Manager will ensure that payment of such redress is made promptly thereafter. Furthermore, the Complaints Manager will ensure that any proposed remedial actions are promptly implemented;
vii. In the majority of cases it is anticipated that investigation of your complaint, and the issuance of a final response letter, will be concluded within 4 weeks of receipt of the complaint. However, in the event that the investigation is not completed within this period, an interim update letter will be sent to you advising on the progress of the Firm’s investigation;
viii. The Firm’s final response letter will usually be issued within 8 weeks of receipt of the complaint. However, in the event that the Complaints Manager has not completed their investigation by that time, a further interim update letter will be issued explaining why the Firm has been unable to conclude its investigation together with an estimate of the time to completion. This letter will advise you of your right to refer the matter at that time to the Ombudsman together with relevant details as to how you may do so; and
ix. In the event that you refer your complaint to the Ombudsman, TPS will cooperate fully with the FOS and comply promptly with any settlements or awards made by it.