Financial Services Complaints

Our goal is to give excellent service to all of our clients, but we recognise that occasionally things do go wrong.

We take all complaints we receive seriously and aim to resolve all of our clients’ problems promptly.

Please follow the simple steps below.

Step 1:

Who do I contact?

Firstly, please contact us with the details of your complaint. Please call us on either 01904 682 800 or complete our complaints form below.

Alternatively you can write to us with full details to:

Compliance Officer
Helmsley Group
Colenso House
Omega 1
Monks Cross Drive
York
YO32 9GZ

Step 2:

When can I expect a response from the Compliance Officer?

Once an assessment and full investigation of your complaint has been made, we will respond with a decision.

Most of our clients’ complaints can be resolved quickly but occasionally more detailed enquiries are needed. If this is likely, we will contact you with an update and give you an expected date of response.

 

Please fill in the form to help us resolve your query.

2 + 12 =

Step 3:

What if I remain dissatisfied?

If, after your complaint has been reviewed by the Compliance Officer, you are still unhappy and you feel the matter has not been resolved to your satisfaction, you may be able to refer your complaint to the Financial Ombudsman Service (FOS).

The FOS will only consider your complaint if you have already given us the opportunity to resolve it. However if we do not resolve your complaint within eight weeks*, you can contact the FOS directly.

FOS contact details:

The Financial Ombudsman Service
Exchange Tower
London
E14 9SR
Tel: 0800 023 4567**
www.financial-ombudsman.org.uk

*The working days/hours are Monday-Thursday 9am-5pm, Friday 9am-4pm. Therefore, if a complaint is received outside these periods it will be viewed as being received on the next working day.
**Calls made from BT landlines are free. Charges may vary for calls made via other service providers.
Helmsley Securities Ltd and Helmsley Acceptances Ltd are authorised and regulated by Financial Conduct Authority (Financial Services register 665743 and 715178)

*The working days/hours are Monday-Thursday 9am-5pm, Friday 9am-4pm. Therefore, if a complaint is received outside these periods it will be viewed as being received on the next working day.

**Calls made from BT landlines are free. Charges may vary for calls made via other service providers.
Helmsley Securities Ltd and Helmsley Acceptances Ltd are authorised and regulated by Financial Conduct Authority (Financial Services register 665743 and 715178)

Definitions

High Net Worth Investor – An individual who has signed, within the period of twelve months ending with the day on which communication is made, a statement to confirm they have an annual income of not less than £100,000, or net assets, excluding their primary residence, of not less than £250,000.

Certified Sophisticated Investor – An individual who has a written certificate within the last 36 months by an FCA Approved Person confirming that the Investor is sufficiently knowledgeable to understand the risks associated with engaging in investment activity in non-mainstream pooled investments

Self-Certified Sophisticated Investor – An individual who has signed, within the period of twelve months ending with the day on which communication is made, a statement to confirm that have sufficient knowledge to understand the risks associated with engaging in investment activity in a non-mainstream pooled investments.

Thank you for your submission, a member of our team will be in touch shortly.