We take care to maintain high standards of service. If we are aware of client concerns or unease, we give priority to resolving the matter as quickly as possible. To assist with this process we have prepared procedures to ensure that complaints are handled fairly and within reasonable timescales. The below is a summary of our complaint handling procedure. A copy of our full procedure is available on request.
How to make a complaint
If you have a complaint about us and/or our services, you should direct this in the first instance to your investment manager. If you are uncomfortable doing so, your complaint can be directed to the Compliance Officer or the Chief Executive Officer. You can complain in writing, by telephone, by fax or via e-mail. Details can be found on the Contact us page.
What happens after I have complained?
Upon receipt of a complaint, a senior person who, where possible is independent of the case, will investigate the complaint. You will be given the name and contact details of the person dealing with your complaint. We will aim to resolve the complaint as quickly as possible. The person investigating your complaint will:
The acknowledgement may, especially in the case of an oral complaint, set out the nature of the complaint and may request further clarification if necessary. Your complaint will be investigated using our files together with reports from other parties if relevant. We may also write to you if further information is required.
We will keep you informed of the progress of the complaint investigation. After eight weeks, if a final response letter has not already been sent to you, you will receive a final response letter detailing our conclusions and resolution to the complaint. If we are not in a position to make a final response, we will give the reasons for the delay and will indicate when we expect to be able to provide a full response.
What if I am still not satisfied?
Within our final response letter to you, we will include details of the Financial Ombudsman Service (the “FOS”) whom, provided you are an eligible complainant, you have the right to right to refer a complaint if you are not satisfied with our response. Any referral to the FOS must be made within 6 months of receiving our final response. Further information about the FOS and whether you are an eligible complainant can be found at http://www.financial-ombudsman.org.uk or by calling 0800 023 4567.
This Special Regulatory Information document (together with the documents referred to in it) provides you with important information about the regulatory framework within which LGT Wealth Management US Limited ("LGT WM US", "We" or "us") operates.
The information contained herein may be changed by us without notice and so you should check this page from time to time for any updates.
LGT WM US is authorised and regulated by the Financial Conduct Authority ("FCA") in the United Kingdom, and is a Registered Investment Adviser with the Securities & Exchange Commission ("SEC") in the United States. Our FCA registration details are set out in the FCA Register under Firm Reference Number 585547 (www.fca.org.uk). Our SEC details are set out in the Investment Adviser Public Disclosure under SEC Reference Number 801-77580 (http://www.adviserinfo.sec.gov).
LGT WM US is registered in England & Wales (registered number 06455240) and our registered office is 14 Cornhill, London EC3V 3NR.
LGT WM US is a wholly owned subsidiary of LGT Wealth Management UK LLP. LGT Wealth Management UK LLP is a limited liability partnership incorporated in England & Wales (registered number OC329392), is authorised and regulated by the FCA under Firm Reference Number 471048 and is a Member of the London Stock Exchange.
LGT WM US's advisory and discretionary portfolio management services are restricted to providing clients with specialist expertise and advice on the management of investment portfolios. As a firm, LGT WM US is able to source investment solutions from the whole of market and we are not tied to any products or providers. However, we will not consider clients’ wider financial planning and pension requirements, unless a client expressly wishes us to do so, when the client will be referred to one of our wealth planners.
We take care to maintain high standards of service. If we are aware of client concerns or unease, we give priority to resolving the matter as quickly as possible. To assist with this process we have prepared procedures to ensure that complaints are handled fairly and within reasonable timescales. The below is a summary of our complaint handling procedure. A copy of our full procedure is available on request.
How to make a complaint
If you have a complaint about us and/or our services, you should direct this in the first instance to your investment manager. If you are uncomfortable doing so, your complaint can be directed to the Chief Compliance Officer or the Chief Executive Officer. You can complain in writing, by telephone, by fax or via e-mail. Details can be found on the Contact us page.
What happens after I have complained?
Upon receipt of a complaint, a senior person who, where possible is independent of the case, will investigate the complaint. You will be given the name and contact details of the person dealing with your complaint. We will aim to resolve the complaint as quickly as possible. The person investigating your complaint will;
The acknowledgement may, especially in the case of an oral complaint, set out the nature of the complaint and may request further clarification if necessary. Your complaint will be investigated using our files together with reports from other parties if relevant. We may also write to you if further information is required.
We will keep you informed of the progress of the complaint investigation. After eight weeks, if a final response letter has not already been sent to you, you will receive a final response letter detailing our conclusions and resolution to the complaint. If we are not in a position to make a final response, we will give the reasons for the delay and will indicate when we expect to be able to provide a full response.
What if I am still not satisfied?
Within our final response letter to you, we will include details of the Financial Ombudsman Service (the “FOS”) whom, provided you are an eligible complainant, you have the right to right to refer a complaint if you are not satisfied with our response. Any referral to the FOS must be made within 6 months of receiving our final response. Further information about the FOS and whether you are an eligible complainant can be found at http://www.financial-ombudsman.org.uk or by calling 0800 023 4567.
View our Investment Firms Prudential Regime public disclosures here.
Our remuneration policy is designed to ensure that we comply with the Remuneration Code and our compensation package is in line with the Firm’s strategy and objectives. The policy is designed to create a direct link between reward and performance, encourage a team ethic throughout the business, and promote effective risk management. For our full disclosure statement, contained within our Pillar 3 disclosure.
Learn more about our Stewardship Policy here.
YOU SHOULD BE AWARE THAT A POSITIVE PERFORMANCE IN THE PAST IS NO GUARANTEE OF A POSITIVE PERFORMANCE IN THE FUTURE. THE RISK OF FALLING PRICES, FOREIGN CURRENCY LOSSES AND FLUCTUATING RETURNS DUE TO EXCHANGE RATES WHICH ARE UNFAVOURABLE FOR INVESTORS CANNOT BE EXCLUDED. IT IS POSSIBLE THAT INVESTORS WILL NOT GET BACK THE FULL AMOUNT THEY INVESTED. COMMISSIONS AND CHARGES LEVIED ON THE ISSUANCE AND REDEMPTION OF UNITS ARE DEBITED SEPARATELY TO EACH INVESTOR.
INVESTORS ARE SPECIFICALLY ADVISED THAT CERTAIN INVESTMENTS ARE HIGHLY VOLATILE. SUCH INVESTMENTS, SUCH AS DERIVATIVES, MAY BE SUBJECT TO SIGNIFICANT PRICE FLUCTUATION, WHICH MAY BE EQUAL TO OR GREATER THAN THE AMOUNT OF CAPITAL INVESTED.
CERTAIN SPECIFIC INVESTMENTS MAY NOT BE IMMEDIATELY REALIZABLE. IT MAY THEREFORE BE DIFFICULT FOR INVESTORS TO SELL AN INVESTMENT, REALISE A PROFIT, OR OBTAIN RELIABLE INFORMATION AS TO ITS VALUE OR THE DEGREE OF RISK TO WHICH THE INVESTMENT IS EXPOSED.
WHEN BUYING OR SELLING INVESTMENTS INVOLVING A CONTINGENT LIABILITY, NOT ONLY MAY YOU LOSE THE AMOUNT INVESTED, BUT IN CERTAIN CIRCUMSTANCES YOU MAY ALSO BE REQUIRED TO PAY AN ADDITIONAL AMOUNT.
Forward-looking for generations
Advice is subject to any legal, regulatory or jurisdictional constraints. Investors should be aware that past performance is not an indication of future performance, the value of investments and the income derived from them may fluctuate and you may not receive back the amount you originally invested.
LGT Wealth Management US Limited is Authorised and Regulated by the Financial Conduct Authority ("FCA") in the United Kingdom, and is a Registered Investment Adviser with the Securities & Exchange Commission ("SEC") in the United States. Registered office: Fourteen Cornhill, London, EC3V 3NR.