COMPLAINT RESOLUTION PROCEDURES

As part of its commitment to customer service, Bell Potter has in place a complaints handling procedure consistent with the Australian Standard. In the first instance, Clients should raise any complaint that they have with their Adviser. Alternatively, Clients can raise the matter direct with the relevant State Manager. However if Clients have not received a satisfactory resolution to their complaint, they can also contact Bell Potter’s Compliance department. If the complaint is not resolved internally to the Client’s satisfaction then the Client is entitled to refer the complaint to the external complaints scheme of which Bell Potter is a Member, the contact details of which are as follows:

Australian Financial Complaints Authority

GPO Box 3
Melbourne VIC 3001
Telephone: 1800 931 678
Toll free: 1300 780 808
Fax: (03) 9613 6399
Interpreter: 131 450
Email: info@afca.org.au

Stockbrokers and Financial Advisers Association

In addition, the Stockbrokers and Financial Advisers Association (SAFAA) which sets professional, ethical and educational standards for its Members has established a Complaints Handling Process and a Conduct Review and Disciplinary System to investigate and determine complaints against Members.

Complaints must be made in writing using the SAFAA Complaints Form and addressed to:

Chief Executive
Stockbrokers and Financial Advisers Association
Level 6, 56 Pitt Street
Sydney NSW 2000

Or via email to complaints@stockbrokers.org.au