Public Complaints Policy
 
This Policy applies to Sovereign Capital Pty Ltd and all its’ representatives.

Overview

 

This policy explains how you can make a complaint, our measures for handling your complaint, and the steps you can take if you are not satisfied with our response to your complaint, or the time that it takes for us to respond.

 

When we use the term “IDR”, we mean “internal dispute resolution”.

 

We acknowledge the importance of having an effective and efficient complaints handling and IDR framework, and we adopt a client-focused approach. While we acknowledge your right to make a complaint, we expect that you will treat our staff with respect when they are dealing with your complaint.

 

The purpose of this Complaints Policy is to set out the information required to be in a Complaints policy by ASIC Corporations, Credit and Superannuation (Internal Dispute Resolution) Instrument 2020/98 (“the Instrument”). The Instrument is a legislative instrument made by the Australian Securities and Investments Commission (“ASIC”).

What is a complaint?

 

A complaint is:

“An expression of dissatisfaction made to or about us; related to our products, services, staff or our handling of a complaint, where a response or resolution is explicitly or implicitly expected or legally required”.

 

What should I do if I have a complaint?

 

If you have any complaint about the services we have provided to you, you should take the following step:
 

  • Contact your financial adviser or contact us by any of the following means:
     

Post:   Attention: Complaints Manager

Sovereign Wealth Partners
Level 26, 20 Bond Street
Sydney NSW 2000

Email:  clientservices@sovereignwp.com

Phone: 02 8216 1777

 

We will acknowledge your complaint within 24 hours of receipt if practicable and we will try and resolve your complaint quickly and fairly.

 

If you need additional assistance to lodge a complaint, please use any of the above methods to contact us and we can engage accessibility services such as interpreters if required or we can assist you.

 

If the complaint can't be resolved to your satisfaction within 30 calendar days, you have the right to refer the matter to the Australian Financial Complaints Authority ('AFCA'). Sovereign Capital is a member (No. 34865) of AFCA, an independent complaint resolution service funded by its members.

 

AFCA can be contacted on:

 

Post:      GPO Box 3, Melbourne, Victoria, 3001

Web:     www.afca.org.au

Email:    info@afca.org.au

Phone:   1800 931 678

 

Where we need more time, for example, due to complexity or difficulties investigating your complaint, we will write to you to let you know that we need more time, the reasons why and that you have the right to refer the matter to the AFCA if you are dissatisfied.