Complaints
An important part of our obligations to treat our clients 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) 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 to 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.
- If you wish to make a complaint regarding the Administrator and Registrar for the UK domiciled OEIC funds, The Northern Trust Company (UK Branch), please contact them via email: JOH_Onshore_TAQueries@ntrs.com
- If you wish to make a complaint regarding the Administrator and Registrar for the Irish domiciled sub-funds, Northern Trust International Fund Administration Services (Ireland) Limited, please contact them via email: JOH_offshore_TAQueries@ntrs.com
You will receive a response from investorrelations@ntrs.com
Alternatively, please refer to your fund documentation for the relevant telephone numbers. Should you wish to complain to JOHCM directly, please send an email to the following email address:
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. The Financial Ombudsman Service (FOS) allows us 8 weeks to resolve a complaint.
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, some of you may be eligible to have your complaints considered by the FOS.
In any such case, we will inform the complainant 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
Notes:
- Markets in Financial Instruments Directive (MiFID) – an EU legislative framework that aims to strengthen investor protection and improve the functioning of the financial markets.
- 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’.
- 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).
- Open-Ended Investment Company (OEIC) - a type of collective or pooled investment fund in the United Kingdom.
