Complaints Procedure

Client satisfaction is our absolute priority. . .

Although we aim to provide you with the highest standards of service, there may be occasions when our service or advice does not meet your expectations. 

In the first instance, you should discuss the matter with your Financial Planner.

If you do not feel your Financial Planner has taken the necessary steps to address your concerns, or you do not feel it appropriate to discuss the matter with your Financial Planner, please contact our Compliance Officer in writing at:

FAO: The Compliance Officer

Ellis Bates Group Limited
Adam House
Ripon Way
North Yorkshire

Your concerns will be dealt with as thoroughly as possible.

If you remain dissatisfied at the end of this process, you have the option to refer the matter to the Financial Ombudsman Service at:

The Financial Ombudsman Service
Exchange Tower
London E14 9SR

Tel: 0800 023 4567


Please note:

You should allow us to complete our Internal Complaints Procedure before you refer your concerns to the Ombudsman.

There are certain types of complaint which are outside the Ombudsman's jurisdiction. Before you refer the matter to the Ombudsman you may wish to contact them on the number above to discuss your complaint. You can also visit their website for more information.

If the matter is to be referred to the Ombudsman you should do so as soon as possible after our final response and certainly within six months. Outside this time period it is at the discretion of the Financial Ombudsman Service whether they review your complaint or not.


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