Regulatory Statement

Treating Customers Fairly

“Our clients are at the centre of everything we do and everything we do must exceed our clients’ expectations.”

We at Alison Davis have always considered that we have Treated Customers Fairly and we are committed to acting in the best interests of our clients at all times:

  • We will provide our clients with full “clarity of the offer” so that they understand what they are buying.
  • We will ensure that there are no surprises and that a client’s policy “delivers what is promised” at the time of a claim.
  • We will ensure that we will “put things right if we get them wrong”.
  • And we promise “not to take advantage” by engaging with our clients in an open and transparent manner.

We underpin these four business principles within our Treating Customers Fairly policy which requires amongst other things; that we:

  • Provide continuous training to ensure our staff have the right skills and knowledge to do their jobs effectively.
  • Engage in active consultation with our clients so that we fully understand their needs and requirements.
  • Provide an objective assessment of suitability when making a recommendation.
  • Communicate in an open, fair and respectful manner with clear, precise, relevant and timely supporting documentation.
  • Provide an appropriate level of after sales service.
  • Constantly measure and review the effectiveness of our Treating Customers Fairly policy by analysing management information from all areas of the business and amending our internal processes accordingly to improve the service we offer our clients.

Our policy is in line with the current guidance from the Financial Conduct Authority (FCA) and principle six of the FCA that states a “firm must pay due regard to the interests of its customers and treat them fairly”.

Regulatory

Alison Davis is owner and 100% shareholder of Pure Advanced Financial Planning Ltd which is an enterprise company under the regulatory umbrella of Mulberry Wealth Management Ltd. Alison Davis ACII APFS and Mulberry Wealth Management Ltd are *Authorised and regulated by the Financial Conduct Authority (FCA). Not all products and services offered are regulated by the FCA. For further information and to check each firm’s and Alison’s registration details, please visit the FCA using the link below.

The Financial Conduct Authority is the main regulatory body for the financial services, general insurance and healthcare industries http://www.fca.org.uk/

www.fca.org.uk/firms/systems-reporting/register or by contacting the FCA on 0800 111 6768. Our Financial Services Register number is Mulberry 499351 and Alison Davis AMH01235.

Complaints

If you wish to register a complaint, please write to Mulberry Wealth Management Ltd 366 & 368 Cyncoed Road, Cyncoed, Cardiff CF23 6SA telephone number 029 2002 3333 or e-mail info@mulberrywealth.co.uk.

A summary of our internal complaints handling procedures for the reasonable and prompt handling of complaints is available on request and if you cannot settle your complaint with us, you may be entitled to refer it to the Financial Ombudsman Service at www.financial-ombudsman.org.uk or by contacting them on 0800 023 4567.

Financial Ombudsman Service
Exchange Tower
London
E14 9SR

You can send an e-mail to: complaint.info@financial-ombudsman.org.uk

Please email or call Alison (07496 689 309) or Adrian (07725 343 815) for a no obligation review of your circumstances.