Compliments and Complaints

Compliments and Complaints

Australian Financial Services Licensing law requires all organisations that give financial advice to have both an Internal Dispute Resolution service and also belong to an External Dispute Resolution Service. Managing client complaints according to legislation is the responsibility of the, ‘licensee’ which is the management group licensed by the regulator, ASIC.


The arrangements for making a complaint against your financial adviser are set out in the Financial Services Guide (FSG) that would have been provided to you by the adviser when you first met. If you are seeking a resolution of any issue regarding the advice or services you have received, you should initially direct your complaint to the licensee of the advisory firm. You will be able to find details on the adviser's website and in the FSG. If you are not satisfied with the response, you can escalate the complaint to their nominated External Dispute Resolution Service. 


You can also make a complaint about your adviser’s conduct to their professional association. Members of the Association of Financial Advisers are required to comply with a Code of Conduct and are subject to investigation and disciplinary action. Where your adviser is a member of the Association of Financial Advisers, please either call us on (02) 9267 4003, email us at or submit a complaint using the form provided below.

2014-15 Complaints Report

2015-16 Complaints Report

2016-17 Complaints Report

2017-18 Complaints Report

2018-19 Complaints Report


In accordance with our by-laws, we will appoint an investigating officer to review your complaint, which may then be escalated to a disciplinary committee to take necessary action that could include a reprimand, suspension or termination of membership.


We'd also like to hear about exceptional advice or service that you have received, and you can complete the form below to let us know.