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Letter of Complaint about Financial Advice - Form

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Create your Letter of Complaint about Financial Advice 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.

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Below you can preview the Letter of Complaint about Financial Advice, complete it by answering a few plain-English questions, and download a ready-to-sign copy in Word and PDF - tailored for use in Australia.

What the Letter of Complaint about Financial Advice includes

This template is organised into the following sections:

Frequently asked questions

What is a Letter of Complaint about Financial Advice?

A Letter of Complaint about Financial Advice is a ready-to-use legal template for Australia. You complete it by answering a few plain-English questions, then download the finished document in Word and PDF.

What does the Letter of Complaint about Financial Advice cover?

The Letter of Complaint about Financial Advice is organised into sections covering §1 — Purpose of this letter, §2 — The advice complained of, §3 — Loss and consequences, §4 — Resolution sought, §5 — Response required, so the important points are captured in a clear, consistent structure.

What formats can I download?

You can download your completed Letter of Complaint about Financial Advice as an editable Microsoft Word (.docx) file and as a PDF.

Can I edit the document later?

Yes - save it to your account and you can re-open, edit and re-download it at any time.

Is a Letter of Complaint about Financial Advice legally binding?

Once it is properly completed and signed by everyone involved, a Letter of Complaint about Financial Advice is generally legally binding in Australia, provided it meets the legal requirements that apply to this type of document.

What laws apply to a Letter of Complaint about Financial Advice in Australia?

A Letter of Complaint about Financial Advice should comply with the laws in force in Australia. This template is built around the provisions such situations commonly require, but the rules can vary by region and change over time, so check the current requirements for your case.

Do I need a lawyer to use a Letter of Complaint about Financial Advice?

For most standard situations you can complete the Letter of Complaint about Financial Advice yourself using the guided questionnaire. For high-value, unusual or high-risk matters, it is sensible to have a qualified lawyer review the finished document.

How do I sign the Letter of Complaint about Financial Advice?

Download the completed Letter of Complaint about Financial Advice as Word or PDF and sign it as required in Australia. Depending on the document this may involve a handwritten or electronic signature, and some documents also need witnesses.

Is the Letter of Complaint about Financial Advice free?

You can preview the Letter of Complaint about Financial Advice and fill it in for free. A one-time fee applies only when you download the finished, ready-to-sign document in Word and PDF.

How long does it take to complete a Letter of Complaint about Financial Advice?

Most people finish the Letter of Complaint about Financial Advice in just a few minutes by answering the plain-English questions. You can save your progress and come back to it at any time.

Prepared and reviewed by the LegalDocs team.

Document preview

________
________
________
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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,



________

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