Complaints Policy and Complaints
Management Procedures.

Hilbert Investment Solutions Ltd. (“Hilbert”) is authorised and regulated by the Financial Conduct Authority (“FCA”). Financial Services Register number 698380. Company number 08956837.

At Hilbert we are committed to:

  • preserving our reputation for trust and responsibility by providing high-quality professional service to all of our clients.

What is a complaint?

The FCA defines a complaint as an expression of any oral or written dissatisfaction about the provision of, or failure to provide, a financial service. It involves an allegation that the complainant has suffered or may suffer: 

financial loss; 
• material distress; or 
• material inconvenience.

How to submit a complaint?

We welcome any and all feedback on our services. In the unlikely event that you feel dissatisfied with any of our services or you feel that our service has not met your expectations, you can submit a formal complaint to our Compliance department by:

Post: 27 Clements Lane London EC4N 7AE
Telephone: 020 3808 7138

What is the complaint process?

At Hilbert, any staff member can receive a client complaint and has the responsibility to do everything within their authority in conjunction with the Compliance department to resolve the issue at the first point of contact.  

In order to help us respond as quickly as possible, a complaint sent by the client shall include:

• the client’s full name;
• the clients account number;
• the date on which the issue occurred; and
• a clear and logical description of the issue.

Our Compliance department operates independently and will carry out an impartial evaluation of your case, contacting you for more information if necessary. They will endeavour to determine what failed to happen and assess whether we have acted properly and in accordance with our rights and obligations. They may also determine whether any compensation is due.

What is the investigation process?

On receipt of your complaint our Compliance department will acknowledge your complaint and, where required, will commence an investigation. Where the complaint is resolved within 3 business days of its receipt, we will send you a Summary Resolution Communication explaining how the complaint has been resolved and providing information on your rights to refer the matter to the Financial Ombudsman Service if you remain dissatisfied. 

If it will take longer to resolve your complaint, we will provide you with an acknowledgement letter within 5 business days of receipt of your complaint. We will keep you informed of progress and may ask you to provide further information to assist us in the investigation of the complaint. Whilst our internal procedures allow us up to 8 weeks to deal with a complaint, every effort will be made to resolve complaints promptly and fairly.

Final response

If after a period of 8 weeks, Hilbert has not completed its investigation and provided a final response, we must either:

• provide a final written response, which:

– accepts the complaint, and where applicable, offers redress or remedial action; or
– offers redress or remedial action without accepting the complaint; or
– rejects the complaint and gives our reasons for doing so.
– indicates whether or not we consent to waive the relevant time limits;
– informs the complainant that he/she may refer the complaint to the Financial Ombudsman Service (“FOS”) if dissatisfied and, if so, do so within 6 months of the date of our final response.

• provide a final written response, which:

– explains why we are unable to give a final response and provide an estimate as to when we expect to be able to do so;
– informs the complainant that he or she may now refer the complaint to the FOS;
– indicates whether or not we consent to waive the relevant time limits;
– encloses a copy of the FOS standard explanatory leaflet; and
– provides the website address of the FOS.

We will consider a complaint closed when we have made our final response to you. This does not prevent you from exercising any rights you may have to refer the matter to the FOS. You can contact the Financial Ombudsman Service on the details provided below:

Financial Ombudsman Service
Exchange Tower
United Kingdom
E14 9SR

Phone: 0800 023 4567


Retaining complaint records for the FCA

A record of the complaint must be retained by the company for 5 years from the date of the receipt of the complaint. A report must be made to the FCA twice a year, via the FCA’s Firms on Line electronic reporting system. This report specifies the total number of complaints received by the firm which were not settled by the close of business the business day after the receipt of the complaint in accordance with rule DISP 1.5.4.