At Katz & Co. we are committed to providing the highest level of service
However, if you think we have fallen short on this commitment then please contact us immediately to tell us how and where we have gone wrong.
This policy is intended to ensure that our clients and potential clients fully understand:-
(i) how to make a complaint to us and
(ii) the process that is undertaken by us when a complaint is made.
Although we are not a Financial Service licence-holder, we have chosen to adopt the Financial Service Rule Book 2016 ( amended 2019) requirements (detailed in rule 8.32) as guidance for this and certain other purposes.
Any formal complaint to us should be made in writing.
Should we receive a complaint we will:
(a) record the details of the complainant in our complaints register;
(b) provide a written acknowledgment of the complaint to the complainant within seven days of receipt. This acknowledgment will include — (i) a summary of the complaint; (ii) a copy of our complaints-handling procedures; and (iii) whenever appropriate, a request for further details in writing, with supporting evidence;
(c) ensure that the complaint is brought to the attention of a senior staff member who has appropriate authority to deal with the complaint;
(d) ensure that the complaint is investigated promptly and thoroughly;
(e) ensure that appropriate action is taken and recorded; and
(f) notify the complainant within 8 weeks of receipt of the complaint details of the outcome of the investigation and of any action taken.
