MAKING A COMPLAINT
We welcome the opportunity to address your concerns, resolve issues and improve our services. We would like to be the first to know if you are unhappy with our services, or if you believe that we can improve them. By letting us know of issues, you give us a chance to resolve problems or do things better.
In the first instance, you should take the complaint to your adviser. However, if your adviser is unable to assist or if you do not wish to address your complaint to the adviser, you can share your concerns with the Compliance Officer using the following contact details:
The Compliance Officer will provide you with the acknowledgement of the complaint and aim to respond to your complaint as quickly as possible, but generally no later than 20 business days. Sometimes, the complexity of the question or the information needed to investigate or resolve the complaint may mean that we need additional time to respond. If that is the case, we will let you know.
If we cannot agree on how to resolve the issue, or if we do not provide you with a response within 40 business days, you can contact Financial Services Complaints Limited (FSCL), our external dispute resolution provider. This service will cost you nothing, and will help us resolve any disagreements. FSCL contact details are provided below:
Additionally, if you have concerns about your financial adviser or our conduct, you can address the complaint to the Financial Markets Authority (FMA). Information about the FMA complaints process can be found here: https://fma.govt.nz/contact/make-a-complaint/