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Making a complaint


Typical types of complaint and where they should be addressed

This section shows who to contact if your complaint falls under one of the following headings and if you have not been able to resolve it with the Compliance Officer at the firm or with the quoted company concerned. If it is not for the Exchange to handle, we may pass your complaint on to the organisation responsible and notify you accordingly, or we may suggest an appropriate body for you to get in touch with directly.

Examples of types of situations where you should contact the Exchange:

  • you wish to complain about the way the Exchange operates its markets or the services it provides. This includes complaints about the Exchange's actions 
  • you believe that a company whose shares are traded on AIM may be in breach of the AIM Rules, in particular in relation to the timely and accurate disclosure of information to shareholders

Complaints should not be made about:

  • the content of the Exchange’s rules
  • a decision against which the complainant has the right to appeal

Please note that in the case of a listed company, the disclosure standards set out in the Exchange's Admission and Disclosure Standards are equivalent to those of the UKLA's Listing Rules and, in general, a complaint concerning disclosure by a listed company should be addressed to the UKLA, rather than the Exchange.

With minor exceptions (see footnote to this page) all complaints and disputes in relation to your relationship with any investment firm, including a stockbroking member firm of the Exchange, where no resolution has been achieved after contact with the firm's Compliance Officer, should be addressed to the Financial Ombudsman Service (for the address please click here).

Examples of types of situations where you should contact the FOS:

  • you think that your stockbroker may not have obtained the best dealing price on your behalf
  • you have a complaint concerning your stockbroker or other intermediary's quality of service or a dispute where you consider an independent judgement may be appropriate
  • you have a problem in relation to the custody of your investments by your stockbroker or investment adviser, or the despatch of money due to you.

If you wish to check the authorisation of an investment firm, you may consult the Financial Conduct Authority (for the address please click here) which maintains a central register of authorised investment businesses. The register can be contacted on the FCA's consumer help line 0845 606 1234.

A company's register of shareholdings is maintained by the registrar, which may be either an office within the company itself or an external independent firm acting for the company. The registrar may also act as agent for the company in relation to the payment of dividends and mailing of documentation.

You should contact the registrar in the first instance, and thereafter the Company Secretary of the company concerned, if:

  • you are dissatisfied with the services provided by a company registrar. Please note that registrars are not regulated by the Exchange or otherwise subject to regulation within the scope of the Financial Services and Markets Act 2000
  • you have not received a share certificate following a subscription to or allocation in a new issue of shares

Please note that the Exchange has no jurisdiction in respect of the timely despatch of share certificates nor any powers of intervention or arbitration in the allocation of shares in a new issue.

Footnote - the exceptions refer to business carried out by solicitors, accountants and actuaries not authorised by the FCA. In these cases complaints should be addressed to the firm's Designated Professional Body (see also footnote to page headed 'The Exchange's role in the general regulatory environment - please click here)

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