How to complain and how Conviction Investment
Partners will respond?
Partners Limited (“Conviction Investment Partners’’) (FRN 797117) is an Appointed Representative of Enterprise Investment Partners LLP (“Enterprise Investment
Partners’’) (FRN 604439). Enterprise Investment Partners is a firm which is
authorised and regulated by the Financial Conduct Authority (“FCA”) in the
United Kingdom to provide investment intermediation.
Partners and Enterprise
Investment Partners are required to have in place effective and transparent
procedures for the reasonable and prompt handling of complaints in relation to
the services of Conviction Investment Partners.
Accordingly, this document sets out the complaints
handling procedures that Conviction Investment Partners and Enterprise
Investment Partners will follow in the event that you make a complaint.
Does this policy apply to you?
Conviction Investment Partners’ services are available to persons who
are ‘consumers’, as well as individuals, businesses and organisations that may
not be consumers. The definition of a consumer for regulatory purposes also
refers to any natural person acting outside of his trade, business or profession.
If you fall within such categories, you are likely to be an ‘eligible
Whilst Conviction Investment Partners and Enterprise Investment Partners
will treat all complainants equally, please note that only eligible
complainants will be able to refer complaints to the Financial Ombudsman
Service (“FOS”) if you are not satisfied with the way that Conviction
Investment Partners and Enterprise Investment Partners have handled your
How can you make a complaint?
You can make a complaint about Conviction Investment Partners’ services
by any reasonable means – for example, letter, email, telephone or in person.
It is free of charge to complain.
To make a complaint, please contact:
Name: Joseph Lazaris
Entity: Enterprise Investment Partners
Address: 1-6 Speedy Place, London, WC1H 8BU
Email Address: firstname.lastname@example.org
Phone Number: 020 3890
5476 or 07453 322508
What will happen once you have made your complaint?
Your complaint will be acknowledged, the name and title of the person
handling your complaint confirmed, and a copy of this policy will be provided,
in each case in writing promptly upon receipt. Your complaint will be reviewed
by Joseph Lazaris, the Compliance Officer of Enterprise Investment Partners
unless Joseph Lazaris is involved in the subject matter of the complaint, in
which case your complaint will be referred to another member of Enterprise
Investment Partners’ senior management team.
Joseph Lazaris and/or each other member of Enterprise Investment
Partners’ senior management team has the authority necessary to investigate and
settle each complaint.
Investigating and resolving your complaint
Conviction Investment Partners and Enterprise Investment Partners will
investigate within a reasonable period of time your complaint competently,
diligently and impartially with a view to deciding whether the complaint should
be upheld and whether any remedial action and / or redress may be appropriate.
The conclusions of this investigation will be confirmed in a final written
response to you.
If it is decided that redress is appropriate, Conviction Investment
Partners will aim to provide you with fair offer of compensation for any acts
or omissions for which Conviction Investment Partners is responsible. If you
accept that offer, Conviction Investment Partners will provide within a
reasonable period of time such compensation to you.
Timetable for responses
Once your complaint has been acknowledged, as set out in the section
“What will happen once you have made your complaint?” above, Enterprise
Investment Partners will keep you reasonably informed of the progress of your
complaint. If either Conviction Investment Partners or Enterprise Investment
Partners can quickly resolve your complaint, you will be sent a summary
resolution communication which will:
- acknowledge your complaint and confirm that it is now considered to have been resolved;
- explain that you may still be able to refer your complaint to the FOS if you subsequently disagree with any decision made, and the timescales you have for doing this; and
- provide information about how to contact the FOS.
If it is not possible to resolve your complaint within a reasonable
period of time, Enterprise Investment Partners will, within eight weeks of
receiving your complaint, send you either a final response or a written
response that explains why it is not possible to make a final response to you
and when you can expect to be provided with one.
Such response will also:
- inform you that, if you remain dissatisfied, you may refer the
complaint to the FOS; and
- enclose a copy of, or an electronic link to, the FOS standard
Financial Ombudsman Service
If you are an eligible complainant, you can refer a complaint to the FOS
if you are not satisfied with the outcome of your complaint. Your rights are
set out in the FOS’s leaflet entitled “Your Complaint and the Ombudsman” (https://www.financial-ombudsman.org.uk/publications/ordering-leaflet/leaflet) which Enterprise Investment Partners will provide to you as part of the Complaints process. Please remember that if you wish to refer a complaint to the FOS, you must do so within six months of the date of our final response.
Alternatively, if you are based outside of the UK you can register your complaint on the Online Dispute Resolution (ODR) Platform
using the link http://ec.europa.eu/consumers/odr/.
Your complaint will be determined to be closed in the following circumstances:
- once Enterprise Investment Partners have sent you a final response; or
- where you have told Enterprise Investment Partners and/or Conviction Investment Partners in writing that you accept an earlier response that Enterprise Investment Partners have sent to you; or
- if you refer your complaint to the FOS, when the FOS informs Enterprise Investment Partners and/or Conviction Investment Partners that the complaint has been closed.
If you have any questions about our complaints process, please contact
Joseph Lazaris via any of the contact methods listed above.