An important part of our obligations to treat our clients and investors fairly lies in how we handle complaints. We have a complaints policy designed to help us carry out those duties and comply with applicable regulations.
While we seek to resolve any dissatisfaction with our services through regular dialogue with our clients, we recognise that there may be times when feedback will take the form of an explicit and formal complaint.
There are two firms in the J O Hambro Capital Management (JOHCM) Group that are authorised and regulated by the Financial Conduct Authority (FCA) and which must therefore 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 UCITS management company, which serves as the Authorised Corporate Director (ACD)2 of our UK-domiciled fund range
The board of each of these firms 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 to make a complaint
If you wish to make a complaint, please get in touch with any of your regular contacts at JOHCM, either over the phone or in writing, or alternatively, email email@example.com or call +44(0) 20 7747 8978. If you would like to receive further details of our approach to complaints handling, you should also use any of those contacts.
Any complaints received by either firm must be promptly referred to the Complaints Management Function. This body will:
• undertake a prompt initial assessment of the facts • provide an early written acknowledgement to the complainant (within a maximum of 3 business days of receiving the complaint) • conduct a diligent and impartial investigation • provide a final and comprehensive written response to the complainant within a maximum of 8 weeks from receipt • ensure that the complainant is kept informed during the complaint review process.
The complaints handling process also aims to deliver a response that gives a clear explanation of the circumstances giving rise to the complaint and sets out whether the firm rejects the complaint (and if so, why) or accepts the complaint (and if so, what remedial action is offered).
Financial Ombudsman Service
Some smaller investors may be eligible to have their complaints handled according to a specific process involving referral to the Financial Ombudsman Service (FOS). In any such case, we will inform the complainant in writing about this right of referral. The FOS’s contact details are: Phone: 0800 023 4 567 Text: 07860 027 586 Online:https://help.financial-ombudsman.org.uk/help Fax: 020 7964 1001 Post: The Financial Ombudsman Service, Exchange Tower, Harbour Exchange, London E14 9SR
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 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).