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Ellis Financial | Complaints Procedures

Ellis Financial | Complaints Procedures

Complaints Procedures


John Ellis Insurance is required to maintain a file of all written complaints received in connection with any services it provides that are covered by the Act. This file will include a record of our response(s) and other pertinent correspondence or records and the action taken to resolve each complaint.

We shall ensure that we have in place and are fully compliant with an adequate written procedure for the effective consideration and proper handling of complaints. At a minimum the procedure we will provide the following:

  1. All written complaints will be acknowledged by the firm in writing within 5 business days of receipt.
  2. Details of all oral complaints will be recorded in writing by us;
  3. The complainant shall, while John Ellis Insurances' investigation of a complaint is ongoing, receive a regular written update on the progress of the investigation at intervals of not greater than 20 business days.
  4. Within 7 days of the completion of the investigation of a complaint, we shall advise the complainant in writing of the outcome of the investigation and, if appropriate, explain the terms of any offer or settlement which we are prepared to make in settlement of the complain.t
  5. Where it appears to us that the complainant is not satisfied with the outcome of our investigation into the complaint, we shall ensure that the complainant is notified immediately of his/her right to refer the matter to the Regulator.

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