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Legal & Regulatory Information

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The information contained on this website has been obtained from sources which we believe to be reliable and accurate. Any opinions expressed are for personal use and information purposes only. We are not responsible for the accuracy of information contained within this site and the information is subject to change without notice.

Legal & Regulatory Information

Important information about the BRI Wealth Management plc web site.

The registered address of BRI Wealth Management plc is BRI House, Elm Court, Meriden Business Park, Coventry, CV5 9RL, United Kingdom.

BRI Wealth Management plc is registered in England and Wales with company number 727301.

VAT registration number 559 0617 24.

BRI Wealth Management plc is authorised and regulated by the Financial Conduct Authority.

Risk Warnings

Please note that the value of investments and the income derived from them may fluctuate and an investor may not receive back the amount originally invested. Rates of exchange may cause the value of investments to go up or down. Past performance is not necessarily a guide to the future. The investments and investment services referred to within this website may not be suitable for all investors and if in doubt an investor should seek advice from an investment adviser.

The levels and bases of taxation can change and the taxation benefits associated with some investment products may be withdrawn by changes in legislation.

The current favourable tax treatment for pension saving is subject to change in the future and may vary according to your individual circumstances.

The contents of the BRI web site are not and should not be interpreted as being an invitation to make an investment or other decision.

Data Protection Policy

All telephone calls to and from BRI Wealth Management plc are recorded for regulatory reasons.

Under the terms of the Data Protection Act, BRI Wealth Management plc and its associated companies are Data Controllers registered with The Data Protection Register. For the purposes of conducting business with you, BRI will need to store and process personal data about you using manual and automatic records. Without such records, we may not be able to fulfil our obligations to you and our responsibilities under the law and financial services regulations. Data about you will need to be kept by BRI at least for as long as we continue to do business with you and normally for such time as regulatory requirements require thereafter. The data may be divulged to third parties in the course of conducting investment business on your behalf, if required to do so by regulators, if necessary to fulfil our obligations to you under any agreement or if otherwise agreed with you.

The data we process about you may be provided to us directly by you or by another party who has your permission such as your accountant, solicitor or other adviser. With your agreement, we may also pass information about you to your other advisers.

You have certain rights in respect of the data we hold relating to you. You are entitled, on payment of a fee, to see a copy of the information we hold about you.

Complaints

The purpose of this guidance is to outline BRI Wealth Management plc's procedures for handling complaints from clients. We recognise that, regrettably, from time to time clients may have cause to complain about a service we provide to them. Where a complaint is received from a client we want to ensure that it is properly investigated, the complaint is resolved, and a proper response provided at the earliest opportunity.

How to Complain

Any communication should preferably be made to the Compliance Officer or a director of BRI Wealth Management plc at the following address:

The Compliance Director
BRI Wealth Management plc
BRI House
Elm Court
Meriden Business Park
Coventry
CV5 9RL

Although you may complain about many means such as letter, telephone, e-mail or in person it is the view of BRI Wealth Management plc and the Financial Ombudsman Service that it is usually best to give details of your complaint in writing.

When you contact us please make sure you give us the following information:

  • Your name, address and account details
  • A clear description of your concern or complaint
  • Details of what you would like to do to resolve the complaint
  • Copies of any relevant documents/information
  • A daytime telephone number or email address and any times which we can contact you

The Investigation Process

  • Once BRI Wealth Managment plc has received a complaint a senior member of staff unconnected with the complaint will investigate it. Upon receipt of your complaint a written acknowledgement will be sent to you promptly. The acknowledgement letter will advise you who will be responsible for investigating your complaint.
  • We will endeavour to respond to your complaint as quickly as possible but inevitably some complaints take longer to resolve because of their complexity or the need to obtain further information.
  • If we are able to resolve your complaint promptly (within three business days) we will send you a written acknowledgement letter telling you about your right to refer your complaint to the Ombudsman Service if you subsequently become dissatisfied with our response.
  • For more complex complaints we would normally hope to send a final response to you within eight weeks of receiving a complaint. In the event that we are unable to send a final response we will send you a holding letter detailing why we are not yet in a position to resolve the complaint together with an indication when we will make further contact.
  • If we have not sent you a final response within eight weeks of receiving a complaint we will advise you of your rights regarding referral of your complaint to the Ombudsman Service and provide you with the Financial Ombudsman Services explanatory leaflet setting out your rights.

You can also contact the Ombudsman Service directly at:

Financial Ombudsman Service Contact Details
The Financial Ombudsman Service
Exchange Tower
London
E14 9SR

Phone: 0800 023 4 567
Fax: 020 7964 1001
Email: complaint.info@financial-ombudsman.org.uk
Website: www.financial-ombudsman.org.uk/default.htm