AFA Complaints Report - 2014/15

Public (Anyone can see)

AFA Complaints Register

The tables below present the statistics with respect to complaints received and investigated by the AFA. These tables reflect the financial year from 1 July to 30 June. There were no open complaints as of 30 June 2015.

Kind of Complaints Received

The table below records the type of complaints received by the AFA against members.


Kind of Complaint2014/15
Failure to act in the best interests of the client 
Failure to observe proper standards of professional 
care, skill and competence
Inappropriate management of a conflict of interest1
Failure to provide an agreed service1
Breach of Code of Conduct 

Action Taken by the AFA 

This table below records the action taken by the AFA against those members who were the subject of a complaint. 

Action Type2014/15
Cancellation of membership 
No action required2
Investigation ongoing