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Acadian Asset Management (UK) Limited (“Acadian UK”) has implemented a complaints handing policy to ensure that Acadian UK is able to handle client or potential client complaints promptly, easily and in a transparent manner.
This policy applies to all complaints (as defined below) originating from any type of client, including both retail and professional clients. Consideration has been given to the Financial Conducts Authority’s (FCA) sourcebook on Dispute Resolution: Complaints (DISP), which applies to complaints received from retail clients and complaints in respect of MiFID business.
Definition of a Complaint
Under UK MiFID II a complaint can be made by a client or a potential client. A complaint is any oral or written expression of dissatisfaction, whether justified or not (a “Complaint”).
Scope of Policy
The Policy applies to all employees of Acadian UK and will govern all complaints made by clients or potential clients. All complaints should be immediately directed to the compliance department.
It is Acadian UK’s policy to assess all Complaints fairly and promptly and to take appropriate remedial measures on the basis of such assessment. Clients and potential clients may submit complaints free of charge. All Complaints will be treated as strictly confidential and we will communicate clearly with clients or potential clients in plain language. We shall reply to the Complaint without undue delay.
We will investigate any Complaints effectively, impartially, competently and diligently and will assess whether any remedial action or redress is appropriate, if we uphold the Complaint.
Additional requirements for Eligible Complainants (is defined in DISP 2.7.3R)
An Eligible Complainant may refer the complaint to the Financial Ombudsman Service (FOS) if they are dissatisfied, provided the complaint falls within its jurisdiction and the Complaint is referred within six months of receipt of a final notice or where a resolution is not reached within eight weeks.
Acadian UK will also provide the complainant with the FOS standard leaflet, found here: http://www.financial-ombudsman.org.uk/publications/consumer-leaflet.htm).
Please refer any questions to:
Acadian Asset Management (UK) Limited
Legal & Compliance
24 King William Street, 6th Floor
Acadian Asset Management (UK) Limited is authorized and regulated by the Financial Conduct Authority ('the FCA'), registration number 460224. A private limited liability company incorporated in England and Wales with company registration number 05644066. It is not registered with or authorized by the U.S. Securities and Exchange Commission. Acadian Asset Management (UK) Limited is a wholly-owned affiliate of Acadian Asset Management LLC.
Acadian Asset Management LLC is registered as an investment adviser with the U.S. Securities and Exchange Commission. It is not registered with or authorized by the UK Financial Services Authority. Pursuant to the terms of service level agreements in place with Acadian Asset Management (UK) Limited, employees of Acadian Asset Management LLC may provide certain services on behalf of Acadian Asset Management (UK) Limited and employees of Acadian Asset Management (UK) Limited may provide certain administrative services, including marketing and client service, on behalf of Acadian Asset Management LLC.
Acadian UK provides investment management services to clients located in Europe and client service and support to clients located throughout the UK and Europe. Acadian UK has been authorized and regulated by the UK financial authorities since 2007 and is currently authorized and regulated by the Financial Conduct Authority. (Reg No 460224) (Private limited company Reg No 05644066).
The current Pillar 3 document can be found on Companies House website, please go to www.companieshouse.gov.uk
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