This template is a B6 proof document which describes the systems that a business has in place for managing and resolving complaints and disputes in relation to the financial services provided under its Australian financial services (AFS) licence.
This proof includes a description of your internal dispute resolution procedures, including an explanation of:
- how you will receive and deal with complaints;
- the maximum time frames you will apply for dealing with complaints;
- the remedies you may offer for resolving complaints;
- how you will record and monitor complaints and use this information to identify and address recurring or systemic issues;
- the information you will give to clients about internal and external dispute resolution procedures; and
- how and when you will refer unresolved complaints to the relevant approved external dispute resolution (EDR) scheme(s).
This template has been developed to meet the standards required and outlined in Australian Standard AS ISO 10002-2006 and ASIC Regulatory Guide 3.
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