Complaints - Wholesale

This bundle is designed to enable Wholesale AFS licensees to develop a dispute resolution policy in compliance with ASIC’s RG 271 (Internal dispute resolution), RG 267 (Oversight of the Australian Financial Complaints Authority), Report 515: Financial advice: Review of how large institutions oversee their advisers and Report 603: The consumer journey through the Internal Dispute Resolution process of financial service providers.

It includes a register for internal use by the AFS licensee to record complaints, and also record potential actions to mitigate similar complaints in the future, together with a public complaints policy template.