Investments
Do you handle complaints about investment products for the customers of a financial firm or adviser? This page will give you an overview of the complaints we deal with and our approach.
On this page
Do you have an investments complaint?
If you’re a consumer, see our guidance for consumers on investments. Or give us a call on 0800 023 4567.
Complaints we deal with
We look at complaints about investment products, their management and the way they were sold to consumers.
If a complaint doesn’t fall under our jurisdiction, we’ll tell the consumer about other organisations that might be able to help them.
Resolving investment complaints
When investigating a complaint, we'll look at the facts and evidence from both you and your customer and consider any:
- relevant laws and regulations
- regulators’ rules in place when the event happened
- guidance, standards and codes of practice in place at the time of the event
We follow the FCA’s dispute resolution rules (DISP). We’ll also look at how you’ve tried to put things right.
If we uphold a complaint we’ll ask you to put the consumer back in the position they'd have been in if the error hadn't happened – as far as possible. This could be by paying financial compensation.
We might also make an award for any distress and inconvenience caused.
What is the complaint about?
To find out how we approach investment complaints about a specific type of investment product or service, select the relevant page link below.
More information for financial firms
- How we resolve complaints
- Before we get involved
- Time limits for businesses
- What to send us when we're dealing with a complaint about your firm
- Look at our complaints data
Businesses and consumer advisers can contact our Business Support Hub for information on how the we might look at a complaint, or for guidance on our rules and how we work. We also work with businesses and other organisations to help prevent complaints.
