Earthworm Capital Limited’s Complaints procedure

If a client has a complaint Earthworm Capital Limited’s service, please inform the Compliance Officer. Earthworm Capital Limited wants to offer its clients the best possible service and aims to resolve the complaint quickly and efficiently. This will help Earthworm Capital Limited improve its service. There are three steps the client can take to make a complaint. All Earthworm Capital Limited’s employees must advise the client of all three stages.

Step 1

Please inform the client that he/she can either speak to or write to the person or department that has given the client the service he/she wishes to complain about. Earthworm Capital Limited will aim to resolve the client’s complaint immediately. If Earthworm Capital Limited cannot, please advise the client how long it will be before Earthworm Capital Limited can give the client an answer.

Step 2

If the client is still not satisfied, he/she can speak to or write to Earthworm Capital Limited’s Head Office in Milton Park. Please advise the client Earthworm Capital Limited’s telephone number is 0203 137 6758 and lines are open from 9.00 am to 5.00 pm Monday to Friday (excluding Bank Holidays). The team at Earthworm Capital Limited will take the details of the client’s complaint and pass it to the relevant person within the team who will contact the client within two working days. If the client would prefer to email their complaint, he/she will need to email: investor-relations@ewcap.co, once the email has been received an acknowledgement of receipt will be sent to the client. The team will aim to respond to the client within two working days.

If the client wishes to put his/her complaint in writing, please advise the client to address it to:

Complaints Department
Earthworm Capital Limited
115P Olympic Avenue
Milton Park
Milton
Abingdon
OX14 4SA

When Earthworm Capital Limited receives the client’s written complaint, please advise the client Earthworm Capital Limited will reply to them within five working days. Earthworm Capital Limited will always deal with the client’s complaint as quickly as possible, and will aim to resolve it within ten working days. However, please inform the client that in some cases it may take Earthworm Capital Limited a little longer to resolve. If this is the case, please advise the client Earthworm Capital Limited will keep the client updated by sending the client a further letter, notifying the client of the current status of his/her complaint, within four weeks of receiving it. If the team have not been able to deal with the client’s complaint within eight weeks of receiving it, the team will write to the client and explain the stage the team have reached and what the team plans to do next. If at this stage the client is not satisfied with the progress Earthworm Capital Limited has made; please advise the client he/she has the option of referring their complaint to the Financial Ombudsman Service.

Step 3

If the client has a complaint that Earthworm Capital Limited has not resolved to his/her satisfaction, please advise the client the Financial Ombudsman Service may be able to provide further assistance and provide them with the contact information below and the following details:

The Financial Ombudsman Service can help resolve disputes between financial institutions and their customers. They are entirely independent, and the service is free of charge to consumers. Ask us for a leaflet, or contact the Financial Ombudsman Service for details at:

The Financial Ombudsman Service,
Exchange Tower,
London,
E14 9SR,

Web: www.financial-ombudsman.org.uk
Email: complaint.info@financial-ombudsman.org.uk

You can also contact the Financial Ombudsman Service (FOS) by phone. 0800 023 4567 – Calls to this number are generally free for people calling from a “fixed line” phone – but charges may apply if you call from a mobile phone. 0300 123 9123 – calls to this number are charged at the same rate as 01 or 02 numbers on mobile phone tariffs. These numbers may not be available from outside the UK – so please call FOS from abroad on +44 20 7964 0500.

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