Complaints Policy for RDC Advisors Pty Ltd

AFSL 396268 & Rhodes Docherty Financial Advisors Pty Ltd

  • Simon Havas and Craig Slatyer are responsible for the complaint handling process.
  • At all times the Complaints Register is kept up to date by Simon and Craig.
  • At all times consideration is given to opportunities for continual service improvement, whether the complaint impacts other clients (and further action is required in respect of those clients), the need for external legal advice and the breach management process.
  • The schedule below is for elapsed days. ASIC RG271 allows a maximum of 30 days for a Standard Complaint. The response period does not ordinarily recommence if a client provides new information in respect of a complaint.
  • If a complaint cannot be resolved within 30 days, the client must be given reasons why and informed of their right to immediately contact the Australian Financial Complaints Authority (AFCA).

Day 1

  • Receipt of complaint. If Simon or Craig do not expect to be able to resolve the complaint within 24 hours, then the complaint is acknowledged immediately via a phone call or email to the client.

By Day 5

  • If complaint is resolved, then Simon or Craig will update and close the complaint on the complaint register.
  • If complaint is not resolved, then Simon or Craig will:
    • Investigate the complaint.
    • Consider the need for external legal support.
    • Consider the need to notify the PI Insurer.
    • Contact the client to provide an update and explain next steps.
    • Send the client an acknowledgement letter setting out the person responsible for handling the complaint, next steps, timeframes and the availability of the external dispute resolution system.

By Day 30

  • Investigate the complaint in greater detail through discussion with client and reference to supporting documentation.
  • Determine the proposed resolution of the complaint and (where required) confirm acceptance of resolution with PI insurer.
  • Contact client to offer resolution and (where required) agree terms of settlement.
  • Send letter to client setting out the proposed resolution and the basis for resolution or alternatively the reasons for rejecting the complaint. Within the letter inform client of external dispute resolution process (AFCA) and enclose their contact details.

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