Ethical Investment Advisers Pty Ltd - Complaints Handling

Ethical Investment Advisers Pty Ltd
AFSL: 276544
ABN: 26 108 175 819

 

POLICY DOCUMENT

 

COMPLAINTS HANDLING

Date produced: 1 October 2021

As with all businesses we appreciate that matters do not always go as planned or expected so
complaints are part and parcel of doing business including providing financial planning
services as we do. This policy is to assist you to understand how complaints are handled by
us and how you can notify us if you have a complaint.

Notification of complaint

If you are dissatisfied with the service we have provided to you and you want us to take some
action to address the situation you can notify us through:
• An email to your representative or if not comfortable doing that then to
compliance@ethicalinvestment.com.au and in the subject line mark as Complaint
• A telephone call to the representative who provided the service or if uncomfortable
making that approach directly to 07 3367 3332
• Visiting one of our offices
The format of the lodgement can be written or oral. We may ask you to confirm our
understanding of your oral complaint so that we are all clear on the situation.

Assistance

If you need assistance in expressing your complaint, then we are prepared to listen and help
you to set out the details. We are also prepared to engage with a person that you may
nominate to act on your behalf however we will require that authorised consent from you
(unless they are acting under a Power of Attorney).

If you are more comfortable using a language other than English, please let us know so that
an interpreter can be engaged.

Our process

Once we receive your complaint, we will provide you with an acknowledgement in your
preferred method of communication with 1 business day.

We will need to gather information from all parties involved in the complaint and consider
that information in light of the situation you have brought to our attention; so, we may need
to contact you during our assessment to clarify or obtain further information. Our promise is
that we will always conduct investigations and assessments in a fair and unbiased manner.

You will receive our final response with clear explanations for our decisions.

Our final response will be provided to you within 30 calendar days of the receipt of the
complaint. However, if your complaint is complex or there are unavoidable delays in receiving
requested information from you this may impact our meeting that target. In those
unexpected situations we will send you a Delay Notification which will set out the reasons for
the delay and that you may escalate this to the Australian Financial Complaints Authority
whose contact details are set out towards the end of this policy.

Timeframes

Just to reiterate our timeframes clearly:
Acknowledgement of a complaint – 24 hours or 1 business day
Final response – 30 calendar days generally unless we issue a Delay Notification

Contact us by:

Telephone: 07 3367 3332
Email: compliance@ethicalinvestment.com.au and mark as a ‘Complaint’ in
the subject line
Face to face: at one of our business offices
Mail: PO Box 623 Paddington Qld 4064

Contact details for the Australian Financial Complaints Authority

Telephone:     1800 931 678 9:00am–5:00pm AEST/AEDT weekdays
Email;              info@afca.org.au
Mail:                Australian Financial Complaints Authority Limited
GPO Box 3
Melbourne, VIC 3001
Online:            Online complaint form (afca.org.au)

Importantly making a complaint is at no cost to you at all at any stage!

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