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Complaint Resolution

  1. Information for Clients

Gleneagle Securities (Aust) Pty Ltd, ABN 58 136 930 526 who holds an Australian Financial Services Licence (AFSL 337985) both offer clients an Internal and External Complaints Resolution Procedure.

Clients should first attempt to resolve any complaints or disputes through the Internal Complaints Resolution Procedure. If a complaint cannot be successfully resolved using the Internal Complaints Resolution Procedure, the complaint can be referred to the Australian Financial Complaints Authority (AFCA).

  1. Internal Complaints Resolution Procedure

Complaints may be made by any means including phone, email, written, verbal or via social media platforms. We will attempt to deal with your complaint in a prompt and efficient manner. Where appropriate, we will follow the procedure outlined below to attempt to ensure that your complaint is resolved within a period of 30 days. Some complaints can be resolved more quickly depending on the facts and the nature of the complaint. If the complaint is more complex and takes longer than 30 days, we will communicate the reasons for the delay. If the reasons for the delay or the outcome of the complaint are not acceptable to you, you have the right to refer the matter to AFCA – see details below.

Our Complaints Officer will assist you if you require assistance in making your complaint so that all relevant facts are provided.

The following procedure will be followed to review and investigate your complaint under our Internal Complaints Handling Procedures:

  • Once a complaint is communicated to us, your Advisor will listen to your complaint or review your written complaint and ascertain the key issues of your complaint. Should you not feel comfortable talking to your Advisor in the first instance then you will be referred to our Complaints Officer.
  • The Complaints Officer or your Advisor will ask you to provide specific or additional information so that they can ascertain all relevant facts. You are invited to provide as much information as you think is relevant to the complaint.
  • The Complaints Officer will confirm the key issues of your complaint either verbally or in writing and keep in regular contact with you while the complaint is being investigated.
  • The Complaints Officer will conduct an independent internal investigation based on the facts provided in your complaint.
  • The Complaints Officer will contact you should any additional information be required.
  • The Complaints Officer will discuss the outcome of the review with your Advisor and Senior Management and a decision will be made relating to the resolution of your complaint.
  • Remedial action may range from an apology to financial compensation. Where a financial remedy is considered appropriate, the aim is to provide fair compensation for any loss suffered;
  1. External Complaints Resolution Procedure

If the outcome of the complaint is not acceptable to you, you have the right to refer the matter to AFCA. AFCA is an independent external complaints and dispute resolution body. The service to you is free.

The contact details for AFCA are:

Australian Financial Complaints Authority

GPO Box 3
Melbourne VIC 3001

Telephone: 1800 931 678


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