7. Information on complaints handling and resolution process to be publicly available
Feedback & supportA financial adviser must ensure that information on the financial adviser’s process for handling and resolving complaints (including information on how to make a complaint and the contact details of the financial adviser’s unit mentioned in regulation 4(1)) is available to, and can be easily accessed by, any member of the public —
at the financial adviser’s place of business; and
on the financial adviser’s Internet website (if any).
For the purposes of regulation 5(3)(a), a financial adviser must provide a written notice that sets out a summary of the financial adviser’s process for handling and resolving complaints (including information on the procedures mentioned in regulation 5(3)(b) to (f)) to every complainant who has lodged a complaint with the financial adviser.
Subregulation 1
A financial adviser must ensure that information on the financial adviser’s process for handling and resolving complaints (including information on how to make a complaint and the contact details of the financial adviser’s unit mentioned in regulation 4(1)) is available to, and can be easily accessed by, any member of the public —
at the financial adviser’s place of business; and
on the financial adviser’s Internet website (if any).
Subregulation 2
For the purposes of regulation 5(3)(a), a financial adviser must provide a written notice that sets out a summary of the financial adviser’s process for handling and resolving complaints (including information on the procedures mentioned in regulation 5(3)(b) to (f)) to every complainant who has lodged a complaint with the financial adviser.