Background

Complaints Policy

Oxford Innovation Finance Complaints Policy

How to complain and how we will respond

The Firm is authorised and regulated by the Financial Conduct Authority (FCA) in the United Kingdom in order to provide small business clients seeking to raise investment with more detailed advice on how to achieve this and assisting them with arranging and bringing about a successful deal. We are required to have in place effective and transparent procedures for the reasonable and prompt handling of complaints in relation to this service.

This document sets out the complaints handling procedures that we will follow in the event that you make a complaint.

Does this policy apply to you?

It is important to note that we will treat all complainants equally, however only eligible complainants will be able to refer complaints to the Financial Ombudsman Service (FOS) if you are not satisfied with the way that we have handled your complaint. We are able to deal with retail, professional and/or eligible counterparty clients. 

How can you make a complaint? 

You can make a complaint by any reasonable means – for example, letter, email, telephone or in person. It is free of charge to complain.

To make a complaint, please contact:

Name: Mrs Kate Wright

Address: Oxford Investment Opportunity Network Limited, Oxford Centre for Innovation, New Road, Oxford, Oxfordshire, OX1 1BY, UNITED KINGDOM

Email Address: kwright@sqwgroup.com

Phone number: 01865 261480

What will we do once we have received your complaint?

Your complaint will be referred to our Compliance Officer as soon as possible. In the event that they are involved in the subject matter of the complaint, your complaint will be referred to another member of our senior management team.

We will promptly acknowledge your complaint in writing. In this acknowledgement, we will provide the name and title of the person that is handling your complaint and this individual will have the necessary authority to investigate and settle the complaint. We will also include a copy of this policy at this time.

Investigating and resolving your complaint

We will investigate your complaint competently, diligently and impartially with a view to deciding whether the complaint should be upheld and whether any remedial action and/or redress may be appropriate and we will set out our conclusions in a final response to you.

If we decide that redress is appropriate, we will aim to provide you with fair compensation for any acts or omissions for which we are responsible. If you accept our offer, we will promptly provide the compensation to you.

Our timetable for responding to you

Once we have acknowledged your complaint we will keep you informed of our progress. If we are able to quickly resolve your complaint we will send you a Summary Resolution Communication which will:

  • Acknowledge your complaint and confirm that we now consider it to be resolved;
  • Explain that you may still be able to refer your complaint to the FOS if you subsequently disagree with our decision, and the timescales you have for doing this; and
  • Provide information about how to contact the FOS.

If we are not able to resolve your complaint quickly we will within eight weeks of receiving your complaint, send you either a final response or a written response that explains why we are not in a position to make a final response to you and when we expect to provide you with one.

Our response will also:

  • inform you that, if you remain dissatisfied, you may refer the complaint to the FOS; and enclose a copy of or an electronic link to the FOS’s standard explanatory leaflet.

Financial Ombudsman Service

If you are an eligible complainant, you are able to refer a complaint to the FOS if you are not satisfied with the outcome of your complaint. Your rights are set out in the FOS’s leaflet “Your Complaint and the Ombudsman” which we will provide to you as part of the Complaints process.  Please note that if you wish to refer a complaint to the FOS, you must do so within six months of the date of our final response.

Alternatively, if you are based outside of the UK you can register your complaint on the Online Dispute Resolution (ODR) Platform using the link http://ec.europa.eu/consumers/odr/

Closing complaints

We will consider your complaint as resolved in the following circumstances:

  • once we have sent you a final response;
  • where you have told us in writing that you accept an earlier response that we have sent to you; or
  • if you refer your complaint to the FOS, when the FOS’s informs us that the complaint has been closed.

Questions

If you have any questions about our complaints process, please contact:

Name: Mrs Kate Wright

Address: Oxford Investment Opportunity Network Limited, Oxford Centre for Innovation, New Road, Oxford, Oxfordshire, OX1 1BY, UNITED KINGDOM

Email Address: kwright@sqwgroup.com

Phone number: 01865 261480

 

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