Complaints

While we seek to resolve any dissatisfaction with our products and services through regular dialogue with our clients, we recognise that there may be times when feedback will take the form of a formal complaint.

Regulatory Background 

There are two firms in the J O Hambro Capital Management (JOHCM) group that are authorised and regulated by the Financial Conduct Authority (FCA) in the United Kingdom and follow the FCA’s rules on complaints handling:

• J O Hambro Capital Management Limited, a MiFID¹ firm, which provides investment management and advisory services to segregated account clients, and
• JOHCM Funds (UK) Limited, a UCITS² management company, which serves as the Authorised Corporate Director (ACD)³ of our UK-domiciled Open-Ended Investment Company (OEIC)⁴ fund range.

The Board of Directors of each firm has ultimate accountability for how the respective firm addresses any complaint. Each firm has assigned day-to-day responsibility to the Compliance team, which runs the JOHCM group’s Complaints Management Function in accordance with the complaints policy.

How can I make a complaint?

JOHCM is committed to providing exceptional service to our clients. If you are dissatisfied with our service and would like to raise a complaint, please contact the relevant teams as below.

Complaints relating to our UK domcilied funds 

Please conduct the complaints co-ordinator at:

JO Hambro Capital Management, 
Sunderland,
SR43 4HR

Email: JOH_Onshore_TAQueries@ntrs.com

Complaints relating to the Irish domiciled funds 

Please conduct the complaints co-ordinator at:

Perpetual Group, City East Plaza – Block A, Towlerton, Ballysimon Road, Limerick, Ireland, V94 X2N9

Email: PerpetualGroup_EU_TAQueries@ntrs.com

Complaints by intermediaries and institutional investors 

Should you wish to complain to JOHCM directly, please write or send an email to the following: 

JOHCM Compliance Team 
JO Hambro Capital Management Ltd. 
Level 3, 1 St James’s Market, London, 
SW1Y 4AH

Email: complaints@johcm.co.uk.  

How will my complaint be handled? 

We aim to resolve any complaints as soon as possible and ideally within 3 business days after the date of receipt of your complaint. If we cannot resolve your complaint within the three-business day period, we will write to you with details of our process and keep you updated with the outcome. We will write you again with details within 4 weeks of receiving your complaint if we cannot send you a final response. If we have resolved your complaint inside of 8 weeks, we will send you a final response. The final response will include details of the complaint and the results of our investigations. 

If we cannot resolve your complaint within 8 weeks, we will send you a written response telling you:

•    why we haven’t been able to resolve it; and 
•    when you expect to have a solution.

Financial Ombudsman Service (FOS)

If you are not happy with our final response, or your complaint is still outstanding after 8 weeks of receiving your complaint, you may be eligible to have your complaints considered by the FOS free of charge.

In any such case, we will inform you in writing about this right of referral.

For further information about FOS, including how FOS may be help you and their contact details, please visit FOS website.

Website: https://www.financial-ombudsman.org.uk/

Phone: 0800 023 4 567

Online Complaint Form: https://help.financial-ombudsman.org.uk/help

Post: The Financial Ombudsman Service, Exchange Tower, Harbour Exchange, London E14 9SR

Civil Action 

If you do not meet the criteria to be able to refer to the Financial Ombudsman Service, you may be able to take civil action. 

Notes:

1. Markets in Financial Instruments Directive (MiFID) – an EU legislative framework that aims to strengthen investor protection and improve the functioning of the financial markets.
2. UCITS – UCITS (“Undertakings for the Collective Investment in Transferable Securities”) means a collective investment scheme authorised under the Financial Services and Markets Act 2000 that complies with the requirements to be a ‘UCITS scheme’.
3. Authorised Corporate Director - A corporate body and an authorised person given powers and duties under the Financial Conduct Authority regulations to operate an Open-Ended Investment Company (OEIC).
4. Open-Ended Investment Company (OEIC) - a type of collective or pooled investment fund in the United Kingdom