This guide outlines the procedures CW RM Limited ACN 139 340 195 AFSL 344369 or its related entities (CW) will follow in dealing with any complaints made by retail clients that are invested in a registered managed investment scheme to whom CW provides financial services. If you have any questions about CW’s dispute resolution procedures after reading this guide, please send an email to [email protected] and a member of our Legal and Compliance team will respond.
HOW TO MAKE A COMPLAINT
You may make a complaint by letter or e-mail. If you wish to make a complaint by letter then please address your letter as follows:
Legal and Compliance Officer
CW RM Limited
Suite 103 / 2 Miami Key
Broadbeach Waters QLD 4218
If you wish to make a complaint by e-mail then please mark your e-mail to the attention of the Legal and Compliance Officer, CW RM Limited and send it to [email protected]. If your complaint involves any person within our Legal and Compliance team, please address your complaint in writing via letter or email to CW’s Managing Director, Damien Gwynne.
HOW YOUR COMPLAINT WILL BE DEALT WITH
Once your complaint has been received, we will acknowledge your complaint within 24 hours (or one business day), or if this is not possible, as soon as practical after we have received your complaint.
If you do not provide all relevant information at the time you make a complaint, then you will be sent a written request via letter or email specifying what further information is required.
If you do not respond to the request for further information within 14 days then you will be sent a follow-up request for further information again. If CW does not receive any additional information from you within a further 10 days then you will be advised that no further action will be taken until all the relevant information is provided.
Unless your complaint is immediately resolved to your satisfaction, your complaint will be investigated by a member of CW. Both you, and the person against whom your complaint is made (if relevant), will be given the opportunity to place all relevant material before the team member investigating your complaint.
Once all relevant information about your complaint has been received, CW will consider your complaint and will, within 30 days, either:
• advise you in writing of its decision and the reasons for its decision; or
• advise you that your complaint is being considered and that more time is required to reach a decision.
If CW extends the time for making a decision (due to it being of a complex nature or for reasons outside CW’s control) then CW will, within 30 days of receiving all relevant information from you, advise you in writing of the delay and the reasons for the delay.
CW will also inform you that if your complaint cannot be resolved, or upon its decision to extend the time required for it to make a decision, or if you are not satisfied with its decision, that you may refer your complaint to CW’s external dispute resolution scheme for consideration. This will only happen after your complaint has been fully considered as set out above.
EXTERNAL DISPUTE RESOLUTION FOR RETAIL INVESTORS
CW RM Limited is a member of the Australian Financial Complaints Authority (AFCA) which operates an external dispute resolution scheme that has been approved by the Australian Securities & Investments Commission. The contact details for AFCA are as follows:
Post: GPO Box 3, Melbourne, Victoria 3001
Toll Free: 1800 931 678
Email: [email protected]
Website: www.afca.org.au