LegalDocs

Letter of Complaint about Financial Advice - Form Pro · AU-law

✓ Valid in Australia · drafted to comply with local law

Create your Letter of Complaint about Financial Advice - Form for use in Australia. Answer a few plain-English questions and the document fills in automatically as you go — then download it in Word and PDF, ready to sign or share. This version has been professionally rewritten to comply with local law.

  • Answer 20 simple questions — the document fills in as you go
  • Live preview: watch your document update in real time
  • Download as Word (.docx) and PDF
  • Edit your answers and re-download anytime
Save to access it later, on any device.

Fill in the details

0/20

Type below — the document on the right updates as you go.

Letter of Complaint about Financial Advice - Form
🔒The clauses below are blurred in the preview. Fill in your details, then pay once to unlock the full document and download it as Word & PDF.

________
________
________
________


To: ________
Attention: The Complaints Officer / Internal Dispute Resolution Manager
________
AFSL No.: ________

Date: ________


Re: Formal Complaint Concerning Financial Advice
Client Reference / Account No.: ________


Dear Sir or Madam,

§1 — Purpose of this letter

1.1 I am writing to lodge a formal complaint about financial product advice provided to me by your firm and/or its representative, ________ (authorised representative no. ________), on or about ________.

1.2 This letter constitutes a complaint for the purposes of your firm's internal dispute resolution (IDR) procedure and is made having regard to your obligations under the Corporations Act 2001 (Cth), the Australian Securities and Investments Commission Act 2001 (Cth) and ASIC Regulatory Guide 271 (Internal dispute resolution).

§2 — The advice complained of

2.1 The relevant advice, product and circumstances are as follows:

________

2.2 The financial product(s) the subject of this complaint are:

________

§3 — Loss and consequences

3.1 As a result of the conduct described above, I have suffered the following loss and/or detriment:

________

3.2 The amount of loss I claim, to the extent presently quantifiable, is ________, and I reserve the right to revise this figure.

§4 — Resolution sought

4.1 To resolve this complaint, I require that you do the following:

________

§5 — Response required

5.1 Please acknowledge receipt of this complaint promptly and, in any event, in accordance with the timeframes prescribed by ASIC Regulatory Guide 271.

5.2 Please provide a written response (an IDR response) confirming the outcome of your investigation and the steps you propose to take, by no later than ________.

§6 — Documents enclosed and reservation of rights

6.1 I enclose copies of the following documents in support of my complaint: ________.

6.2 Nothing in this letter is to be taken as a waiver or limitation of any of my rights, all of which are expressly reserved.

6.3 Please direct all correspondence concerning this complaint to me at the contact details set out above.

Yours faithfully,



________

________

Fields you complete are inserted into the document live. This template is general guidance only — not legal advice.