Complaints procedure guidance

Maitland is committed to providing a professional efficient service in all areas of its business at all times. We acknowledge that standards may not always be reached or may fall beneath those generally expected of us.

Where such cases arise we endeavour to resolve related complaints promptly. Where the complaint cannot be resolved within 24 hours we will adopt the following policy to ensure effective resolution of the complaint. We are also committed to communicating how we are dealing with the complaint throughout the process.

Our response

All employees within the Maitland Group are required to apply the Group’s Complaints Procedure which sets out timescales in order to acknowledge, investigate and resolve complaints.

In addition to seeking to resolve complaints, Maitland is required to record complaints made against the Firm which will be used to assist us in enhancing our procedure and control environment and to mitigate against the possibility of identified matters re-occurring.

Complaints timeline

24 hoursResolve informal complaints
7 daysAcknowledge all written complaints
2 weeksFirst holding letter issued
5 weeksSecond holding letter issued
8 weeksNotify you of the outcome of the investigation and of any action taken. If the investigation is not completed in this time, we will notify you of the reason.

Maitland’s objective is to resolve a complaint before the first holding letter is issued however this may not be possible in all cases due to the complexity of the matter or should we be dependent on third parties for further information.

Investigation of your complaint

Complaints will be investigated by a Senior Manager of the Firm and reported to the Compliance Officer who will record and monitor its progress and resolution.

Escalation of your complaint

If your complaint has not been resolved to your satisfaction within an 8 week period it will be referred to a Director and the Firm’s Head of Risk & Compliance who may contact you directly.

If you are not satisfied

Should Maitland fail to resolve your complaint within 8 weeks of receiving your formal letter of complaint you may want to consider requesting assistance from the ombudsman with responsibility for the entity with which you are dealing. Details of the Ombudsman Offices for the various entities within the Maitland Group can be found by clicking here.

Maitland’s regulators

If you are not satisfied with the outcome of your complaint you are entitled to discuss your complaint with the appropriate regulator in circumstances that the entity is a regulated entity.

Contact details of the various regulators and Maitland entities can be found here.


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