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Complaints Procedure operated
by Ellison Financial Consultants
Effective 1st September 2011 until further
notice.
This procedure is operated by the firm in
relation to its insurance and investment business services
provided under the Investment Intermediaries Act, 1995.
In the event of any complaint please contact
Gary Ellison using any of the contact
details provided on this website.
Our objectives:
- To respond to complaints in a courteous,
timely and fair manner.
- To endeavour to address the specific issues
raised by our customers but, where appropriate, to update
our procedures to avoid re-occurrence of problems.
- To endeavour to achieve a situation where
our customer feels we have addressed complaint but where
he/she remains unsatisfied with the outcome of our efforts,
to ensure he/she is notified of the right to refer the matter
to the Financial Services Ombudsman or the Pensions Ombudsman.
Procedures
- The firm will establish and maintain a
complaints file and all complaint records will be kept for
6 years.
- Where an oral complaint is received by
the firm, we shall record the nature of this complaint.
The firm will investigate the complaint on the basis of
our understanding of the issue.
- The firm will acknowledge in writing written
complaints within 5 business days of the complaint being
received. This acknowledgement will contain a copy of these
procedures and notification that the complainant can refer
the matter to the Financial Services Ombudsman or Pensions
Ombudsman, where relevant, if he/she is not happy with the
outcome of our investigation, or if the matter has not been
resolved within 40 business days.
- We shall endeavour to investigate the complaint
as swiftly as possible, and the complainant shall receive
a written update on the progress of the investigation at
intervals of no later than 20 business days.
- Within 5 days of the conclusion of our
investigation of the complaint, the firm shall send a written
report of the outcome of this investigation. This report
shall include, if applicable, an explanation of the terms
of any offer that the firm is prepared to make in settlement
of the complaint.
- Where it appears to the firm that the complainant
is not satisfied with the outcome of our investigation and
where we feel that we cannot progress the issue further,
we will immediately write to the complainant advising them
of their right to refer the dispute to the Financial Services
Ombudsman at address: 3rd Floor, Lincoln House, Lincoln
Place, Dublin 2, Tel: 01 6620899, or Office of the Pensions
Ombudsman, at 36 Upper Mount Street, Dublin 2, Tel: 01 6471650,
quoting the firm's Ref. No.C1327.
- Gary Ellison, Principal, will review the
file before its conclusion and attempt to identify any procedures
that can to be implemented by our firm to avoid a repeat
of the type of complaint received. Any new procedures will
be immediately communicated to all staff and placed in the
written procedures file.
- Your point of contact, and the person responsible
for complaints in this firm is Gary Ellison.
- In the event of any complaint please contact
Gary Ellison at the address below:- Ellison Financial Consultants,
43 The Dunes, Portmarnock, Co Dublin. Tel: 01 8038105 ,
Email: gary@ellison.ie
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