Complaints summary


At RBC Brewin Dolphin Wealth Management, we believe that open and honest communication can benefit us all, whether it’s to answer a question, solve a problem or share a success story. We value your feedback and use it continuously to improve the quality of the solutions we provide.

It is important for us to know when you have a problem so that we can work to resolve it so, if for any reason, you are not entirely satisfied with any aspect of our service, please let the Head of the Branch you normally deal with. You may complain to us by letter, telephone, email or in person. Alternatively, you may make us aware of your concerns by raising a formal complaint by writing to:

Head of Client Complaints

RBC Brewin Dolphin Ltd

12 Smithfield Street

London

EC1A 9BD

Telephone         020 7248 4400

Email:                 clientcomplaints@brewin.co.uk

Complaints procedure

Any expression of dissatisfaction, from or on behalf of any client, irrespective of whether it is made verbally or in writing is treated as a complaint. Once we have received your complaint, we will try to resolve it immediately, but we may need to carry out an internal investigation. We will send an acknowledgement to you within five working days to confirm that we are dealing with your complaint. Any investigation will be conducted with impartiality and undertaken in a competent and diligent manner. We shall advise you of the expected timeframe to resolve your complaint. We will keep you informed of the progress we are making as our enquiries continue. To help us resolve your complaint as swiftly as possible, please provide us with the following:

  • Your full name, address and account number;
  • A clear outline of your complaint;
  • Copies of any supporting documents concerning your complaint, paying special attention to the dates of occurrence;
  • Details of what you would like us to do to rectify the situation;
  • A telephone number and email address where we can contact you.

All complaints are managed by the Client Complaints Team, based in the UK, who are part of the RBC Brewin Dolphin Group. Once we have received your complaint, we will acknowledge it in writing. We will also advise you of the individual’s name who will be investigating, and managing, your complaint. As part of the RBC Brewin Dolphin Ireland complaints process, the RBC Brewin Dolphin Ireland Head of Compliance will be notified of your complaint. Please be assured that all responses are reviewed by members of the RBC Brewin Dolphin Ireland Compliance team to ensure that local compliance standards are met.

Resolution of your complaint

When all appropriate enquiries and investigations in respect of your complaint have been completed, we will write to you with the outcome of our review. We will also specify any action that we are proposing to take, or have already taken, to remedy the situation. We will aim to send this final response as soon as possible, which will normally, which will normally be within eight weeks of receipt of your complaint. If we are unable to do so, we will send you a written update to explain and to provide you with a revised timeframe for concluding the matter.

If you are still not satisfied

We aim to resolve any concerns that you raise with us, but if you are not satisfied with our final response, or the manner in which the complaint has been handled, you can refer your complaint to:

Financial Services & Pensions Ombudsman

If you are dissatisfied with the response you have received, you are entitled to refer the matter to the Financial Services &
Pensions Ombudsman (the FSPO). The FSPO is independent, and its role is to deal with complaints which consumers have
regarding their dealings with financial service providers.

Financial Services & Pensions Ombudsman
Lincoln House
Lincoln Place
Dublin 2
D02 VH29

Telephone                       +353 1 567 7000

Email:                               info@fspo.ie

Website:                           fspo.ie

RBC Client Complaints Appeal Office

RBC has a Client Complaints Appeal Office (CCAO) dedicated to addressing appealed complaints within RBC. If you are dissatisfied with the outcome of our review once the final response has been issued, you may appeal it by forwarding your concerns to the CCAO. If you ask the RBC CCAO to review your complaint, we may share with them details of your relationship with RBC Brewin Dolphin, which will include personal information, details of your finances, investments and any other information considered relevant to the complaint. If you choose to refer your compliant to CCAO, it will not issue new referral rights to the Financial Services & Pensions Ombudsman.