OCM takes any concerns or complaints very seriously.  Therefore, if you do have a complaint please contact:

The Compliance Officer

OCM Wealth Management Ltd

Bouverie Court, 

The Lakes, 


NN4 7YD   Tel:  01604 621467

Acknowledgement – 5 Working Days

We will reply to your complaint with an acknowledgement within 5 working days.  

We consider this to be prompt and reasonable.  Following acknowledgement, thereafter you will be kept informed of the progress of the measures being taken regarding the resolution of the complaint.  

4 weeks

After 4 weeks of a complaint we should be in a position to complete our investigation.  However, if this has not been possible we will write to you to explain why we are not in a position to make a final response and outline when you expect to be able to provide this.

8 weeks

By the end of 8 weeks after receipt of your complaint we will have hopefully resolved your complaint to your satisfaction.  If this has not been possible we will write to you again explaining the reason why this has not been possible.

At this time we will also give your rights to refer this matter to the Financial Ombudsman Service and provide a copy of the Financial Ombudsman Service standard explanatory leaflet.

“Final Response Letter”

Once your complaint has been received by the firm you will: 

(1) Investigate the complaint competently, diligently and impartially; 

(2) Assess the complaint fairly, consistently, reasonably and promptly: 

(a) The subject matter of the complaint; 

(b) Whether the complaint should be upheld; 

(c) What remedial action or redress (or both) may be appropriate.

You will also take into account all relevant factors and write a response, known as a “Final Response Letter.”  

This letter will detail our investigation and the outcome of our enquiries, as well as; 

  • Offer redress or remedial action if we decide this is appropriate; 
  • Explain promptly and, in a way that is fair, clear and not misleading, our assessment of the complaint, the decision made, and any offer of remedial action or redress; 
  • If the decision is to refute the complaint the Final Decision Letter must detail why we are not upholding the complaint; and 
  • Comply promptly with any offer of remedial action or redress accepted by the complainant.

Complaints Referred to the Financial Ombudsman Service (FOS)

Exchange Tower, 

Harbour Exchange, 


E14 9SR

Tel:  020 7964 1000


Information Commissioner’s Office
Wycliffe House
Water Lane

Tel: 0303 123 1113 (local rate) or 

01625 545 745 if you prefer to use a national rate number