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. Whatever the issue is we will do our best to address complaints promptly and fairly.

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 products and services. In the unlikely event that you feel dissatisfied with any of our products and 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 (as defined under the FCA rule DISP 1.5.4) explaining how the complaint has been resolved and providing information on your rights to refer the matter to the Financial Ombudsman Service (“FOS”) 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.

Although regulation allows us up to 8 weeks to deal with a complaint, we will make every effort to provide our clients with a fair outcome.

Final response

If after a period of 8 weeks, our Compliance department 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 or she may refer the complaint to the 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

– provide 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 FOS on the details provided below:

Financial Ombudsman Service
Exchange Tower
United Kingdom
E14 9SR

Phone: 0800 023 4567


Retaining complaint records for the FCA

• The FCA rule DISP 1.9.1 indicates a firm must keep a record of each complaint for a minimum period of 3 years from the date the complaint was received.

• The FCA rule DISP 1.10.1 indicates a complete report concerning complaints received from eligible person (as defined under the FCA rule DISP 2.7) must be made to the FCA twice a year. This report specifies the total number of complaints received by the firm which were not settled by the close of the third business day after the receipt of the complaint in accordance with the FCA rule DISP 1.5.4.

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