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To: ________
Attention: The Complaints Officer / Internal Dispute Resolution Manager
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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:
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2.2 The financial product(s) the subject of this complaint are:
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§3 — Loss and consequences
3.1 As a result of the conduct described above, I have suffered the following loss and/or detriment:
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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:
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§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 ________.
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§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,
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