Complaints Policy

Introduction

At The Compliance Guys, we strive for excellence in everything we do. While we work hard to get things right the first time, we know that occasionally we may fall short, and when we do, we take that personally. Your feedback matters to us. We welcome complaints as a valuable opportunity to listen, learn, and make meaningful improvements. Every concern raised helps us strengthen the quality of our service and uphold the high standards our clients, partners, and appointed representatives rightfully expect.

Who We Are

The Compliance Guys is a specialist compliance consultancy. We support firms with FCA authorisations and provide ongoing regulatory support, including compliance monitoring, advice, and documentation. In addition, we operate as a Principal firm, overseeing a network of appointed representatives.

How to Make a Complaint

This policy applies to all areas of our business.

If you are dissatisfied with any part of our service, you can raise your concerns using the following methods:

 

  • Email: support@thecomplianceguys.co.uk
  • Post: Office 28 Cleveland Street, Wolverhampton WV1 3HJ
  • Phone: 01902 475321

Please provide as much detail as possible, including your name, contact details, the nature of your complaint, and any supporting information.

What Happens Next

We aim to acknowledge all complaints within 5 business days and will provide a written response following a full investigation within 8 weeks. If we are unable to meet this timeline, we will explain why and let you know when you can expect a final response.

If You Are Not Satisfied

If you are not satisfied with our response, and your complaint falls within the scope of the Financial Ombudsman Service (FOS), you may be eligible to refer your complaint to:

 

Financial Ombudsman Service
Website: www.financial-ombudsman.org.uk
Phone: 0800 023 4567
Email: complaint.info@financial-ombudsman.org.uk

 

Full details of your rights will be provided in our final response letter.

Record Keeping & Continuous Improvement

All complaints are recorded and reviewed to help us monitor performance, identify trends, and improve our services. We regularly review this policy to ensure its effectiveness.