Complaints policy

OSE Manager Limited (OSE Manager) is authorised and regulated by the Financial Conduct Authority (FCA) in the United Kingdom. We are required to have in place effective and transparent procedures for the reasonable and prompt handling of complaints received from complainants.

This document provides information about our complaints handling procedures which we will follow if you make a complaint.

Does this policy apply to you?

We will apply this policy to you if you are an eligible complainant at the time that you refer the complaint to us. An eligible complainant is defined as:

• a private individual;
• a “micro-enterprise” – a business that has fewer than 10 employees and a turnover/annual balance sheet not exceeding 2m euros;
• a “small business” is a not a micro-enterprise but has annual turnover of less than £6.5m and either fewer than 50 employees or has a balance sheet total of less than £5m;
• a charity which has an annual income of less than £6.5m; or
• a trustee of a trust which has a net asset value of less than £5m.

If you are a shareholder of Oxford Science Enterprises plc (OSE), irrespective of whether you fall within the definition above, you are not eligible complainants of OSE Manager as OSE is a body corporate.

How can you make a complaint?

You can make a complaint by any reasonable means – for example, letter, fax, email, telephone or in person. It is free of charge to complain.

What will we do once we receive your complaint?

Your complaint will be referred to our Compliance Officer, Athene Blakeman, as soon as possible. In the event that the Compliance Officer is involved in the subject matter of the complaint, your complaint will be referred to another director of OSE Manager.

We will promptly acknowledge your complaint in writing. In this acknowledgement we will provide the name and title of the person that is handling your complaint. We have given this individual the authority necessary to investigate and settle the complaint. We will also include a copy of this policy.

Investigating and resolving your complaint

We will investigate your complaint fairly, consistently and promptly, determine whether the complaint should be upheld, and (if appropriate) determine remedial action and/or redress. We will set out our conclusions in a final response to you.

If we decide that redress is appropriate, we will aim to provide you with fair compensation for any acts or omissions for which we are responsible. If you accept our offer, we will promptly provide the compensation to you.

Our timetable for responding to you

Once we have acknowledged your complaint, we will keep you informed of our progress. Within eight weeks of us receiving your complaint we will send you either a final response or a written response which explains why we are not in a position to make a final response to you and when we might be expected to provide one.

If you are an eligible complainant, our response will also inform you that you may refer the complaint to the FOS and enclose a copy of the FOS Consumer leaflet.

Financial Ombudsman Service

If you are unhappy with our final decision and are an eligible complainant, you can refer your complaint to the Financial Ombudsman Service (FOS). Your rights are set out in the FOS Consumer leaflet available online at Our consumer leaflet: ‘Want to take your complaint further?’ – Financial Ombudsman service. Please remember that if you wish to refer a complaint to the FOS, you must do so within 6 months of us sending you our Final Response.

We will fully cooperate with the FOS, and will promptly comply with any settlements or awards made by it.

Closing complaints

We will regard your complaint as closed in the following circumstances:

• Once we have sent you a final response; or
• Where you have told us in writing that you accept an earlier response that we have sent to you; or
• If you are an eligible complainant and refer your complaint to the FOS, when the FOS informs us that the complaint has been closed.

Questions

If you have any questions about our complaints process, you can contact us at:

OSE Manager Limited

46 Woodstock Road, Oxford, OX2 6HT

Telephone: 01865 950 000

Email: Complaints@oxfordsciences.com