Making a complaint

How to complain to the London Stock Exchange

If you have a complaint which you wish to address to the London Stock Exchange, you should put your complaint in writing, including copies of relevant documents and giving as much detail as possible on what has happened. Your complaint should be addressed to:

Regulatory Complaints
UK Regulation
London Stock Exchange
10 Paternoster Square
London EC4M 7LS

We aim in general to provide a full response to your complaint within 15 working days of receiving it. However, if we anticipate that it may take longer to respond to your complaint, for example because we need to request information from another party, we may send you an acknowledgement/progress letter pending the eventual substantive response. If we are unable to help, we will provide you with an explanation.

As a result of your complaint, we may start disciplinary proceedings against a firm or quoted company. Obligations of confidentiality normally prevent us from publicising the existence, progress or outcome of regulatory matters including investigations by the Exchange or other regulatory bodies into potential rule breaches or criminal offences. Only if a decision is taken to impose a penalty and to publicise that penalty can the Exchange notify you.

We may not be able to help you if...

your complaint is about events which are more than three years old. This is because, under our rules, firms which are members of the Exchange are not required to keep transaction records for more than three years. We are therefore normally unable to investigate events which occurred before that time
your complaint is subject to litigation or is pending before the courts.

Also, please remember that we cannot investigate any complaint which is outside the scope of the Rules of the London Stock Exchange or of the Admission and Disclosure Standards. In particular, this includes the provision of investment advice, terms of takeover offers, and any complaint you may have about the commercial management of a quoted company.

If we believe that the complaint should be handled by another regulatory or dispute resolution body, we will send it to the appropriate body and let you know that we are doing so.

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