Our Complaints procedure

We are committed to providing a high standard of service to all our clients on every occasion. We do recognise however, that occasionally we will not live up to your expectations or our promises.

Your comments are important. Not only do they allow us to improve our service to you, they also help us to improve our products and service in general, making life easier for everyone who uses them. So if you have reason to suggest how we could have served you better, please let us know.

If you have a complaint about any aspect of our service then we would like to hear from you. You can contact us by telephone or in writing, by post or fax.

Our Client Relations staff will be best placed to receive your complaint and work with you to resolve it. Barclays Stockbrokers have established an internal complaints procedure to ensure your complaint is dealt with efficiently and by the correct person. However, you also have the option of contacting Barclays Bank Head Office Customer Relations.

To help us investigate and resolve the problem as quickly as possible, please make sure you give us the following information:

• Your name, address and client reference number
• A clear description of your concern or complaint
• Details of what you would like us to do to put it right
• Copies of any relevant documents, such as letters
• A daytime telephone number where we can contact you.

We will try to resolve your complaint immediately, and with minimum of inconvenience to you. The first step is for us to be really clear on what the problem is, and to identify with you what we can do to put it right. The more information you can give us the better.

Sometimes we will not be able to solve the problem with you ‘on the spot’. If we are unable to resolve your complaint by the following day, and if we have not already contacted you to agree our proposal for resolving it, we will:

• Send an acknowledgement of your complaint in writing within 2 working days
• Confirm who will handle your complaint, and how you can contact them.

If your complaint is particularly complex in nature, we will keep you informed of the progress we are making as we continue our investigations. We will aim to resolve your complaint within four weeks. However, if we cannot do this, we will send you a written update at that time to explain what’s happening, and will let you know when we expect to resolve your complaint. When we have resolved your complaint, we will write to you with details of the actions we are proposing, or have taken.

We aim to resolve all complaints as quickly as possible, and to the complete satisfaction of our clients. If for whatever reason, you are not satisfied with the outcome of your complaint, you should get in touch directly with the person who has handled your complaint. They will then agree with you what the next steps are.

If you remain unhappy, you can request a review from the Financial Ombudsman Service. The Financial Services Authority (now known as the Financial Conduct Authority) has established the Financial Ombudsman Service to review independently, any eligible complaints made by personal or small business clients with a turnover under £1m per annum, which we are unable to resolve satisfactorily.

We will confirm your eligibility to refer your complaint to the Financial Ombudsman Service, and provide you with the relevant contact details. Alternatively you can obtain a copy of the Financial Ombudsman Service explanatory leaflet from us or contact the Financial Ombudsman Service.