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Complaints

Here at Architas we always aim to provide the highest standard of service to our clients. 

However, on occasions we may fall short and you may express dissatisfaction. Our aim is to treat all complaints fairly, promptly and objectively. Please contact us if you need this information in larger print or a different format and we will try our best to help.

If I am dissatisfied, how can I make a complaint?
If your complaint relates to your or your client’s investment in funds operated by Architas Multi-Manager Limited, you can write to us at, or phone us at:

Architas Multi-Manager Limited
PO Box 10939
Chelmsford
CM99 2XU

Customer Services: 0800 953 0197
Monday to Friday 9.00am - 5.30pm; calls may be recorded and calls are free from landlines and mobiles within the UK.

Customer Services (International): +44 1268 448666
Monday to Friday 9.00am - 5.30pm; calls may be recorded.

If your complaint relates to investment management and / or investment advisory services provided by Architas (either Architas Multi-Manager Limited or Architas Advisory Services Limited) under the Markets in Financial Instruments Directive (MiFID) (‘MiFID Complaint’), you can write to us at:

MiFID Complaints
Architas
5 Old Broad Street
London
EC2N 1AD
United Kingdom

What is a complaint? 

If an expression of dissatisfaction involves allegations of financial loss, material distress or material inconvenience, it will be treated as a formal complaint.

Where the complaint is a MiFID complaint, for example a complaint about investment services provided by Architas, we will categorise the complaint as a MiFID complaint and investigate it in line with our MiFID regulatory obligations.

Where the complaint is not a MiFID complaint (e.g. the complaint is regarding an investment in Architas funds), but is made by an eligible complainant, we will continue to investigate the complaint in line with our regulatory obligations.

Am I eligible to make a MiFID complaint? 

Architas will investigate complaints made by any of its clients or potential clients, regardless of their client categorisation (retail, professional or eligible counterparty).

Will it cost me anything to make a MiFID complaint? 

No. It will not cost you any money if you make a complaint to Architas. 

Who will deal with my MiFID complaint? 

All MiFID complaints are dealt with independently by the Retail Fund Administration team at Architas.

How soon can I expect a reply?

We will aim to settle the complaint promptly and fairly. We will send an acknowledgement within five business days, which will contain a copy of our complaints procedure. You can expect to receive a final reply within a maximum of eight weeks. However, we aim to investigate the complaint as quickly as possible and to reply immediately when our investigation is completed. You will be kept up to date with the progress of your complaint. 

What can I expect in the final reply?

Our final reply will:

  • Summarise your complaint;
  • Tell you the results of our investigation;
  • Tell you whether we agree or disagree with your complaint;
  • Be open in acknowledging any mistakes that may have happened;
  • Tell you if we will offer any compensation and, if so, on what basis;
  • Tell you if we have not yet completed our investigation, the reasons why not and when you can expect our reply;
  • Tell you of your right to refer the complaint to the Financial Ombudsman Service if we have not completed our investigation, or if you are not satisfied with the reply; and
  • Provide details of the Financial Ombudsman Service and their contact details.
What happens if I am not satisfied with your reply? 

If you are ‘eligible’ to do so (see below), you can refer your MiFID complaint to the Financial Ombudsman Service within six months of receiving our final reply. This is an independent body set up to deal with complaints from consumers who are not satisfied with the reply they have received from firms. This is a free service.

Making a complaint will not prejudice your right to take legal proceedings.

To be a complainant ‘eligible’ to refer your MiFID complaint to the Financial Ombudsman Service, you must, at the time you refer the complaint, be a person that is:
  1. a consumer; or
  2. a micro-enterprise;

    (a) in relation to a complaint relating wholly or partly to payment services, either at the time of the conclusion of the payment service contract or at the time the complainant refers the complaint to the respondent; or

    (b) otherwise, at the time the complainant refers the complaint to the respondent; or
  3. a charity which has an annual income of less than £6.5 million at the time the complainant refers the complaint to the respondent; or
  4. a trustee of a trust which has a net asset value of less than £5 million at the time the complainant refers the complaint to the respondent; or
  5. (in relation to CBTL business) a CBTL consumer; or
  6. a small business at the time the complainant refers the complaint to the respondent; or
  7. a guarantor.
 
When can I contact the Financial Ombudsman Service?

You can only contact the Financial Ombudsman Service if we have had eight weeks to deal with your MiFID complaint and have not sent you a final reply in this time, or we have sent you our final reply but you are still not satisfied.

How can I contact the Financial Ombudsman Service?

You can contact the Financial Ombudsman Service online, in writing or by telephone:

Financial Ombudsman Service
Exchange Tower
Harbour Exchange
London
E14 9SR
United Kingdom

Within the UK: 0800 023 4567 (calls are free from landlines and mobiles within the UK)
Outside the UK: +44 207 964 0500 (call costs will vary)

Lines are open Monday to Friday (8am to 8pm UK time) and Saturday (9am to 1pm UK time)

https://help.financial-ombudsman.org.uk/help

How do I obtain further details of your MiFID Complaints Policy?

Further information is available on request by contacting us in writing at the following address, or by contacting your Client Relationship Manager:

MiFID Complaints
Architas
5 Old Broad Street
London
EC2N 1AD
United Kingdom

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