HLK Complaint Handling Procedures – How To and Where To

If you wish to lodge a complaint:

  1. First compile all documents that relate to your complaint and any questions that you wish to have answered.
  2. Inform the relevant Authorised Representative of HLK Group with details of your complaint. At this stage the relevant Authorised Representative will review the situation and will attempt to resolve at this initial level
  3. If the matter is still not resolved to your satisfaction, please ask the Authorised Representative to escalate your case to HLK Group’s Compliance Manager or email compliance@hlkgroup.com.au
  4. Upon receipt of the complaint by the Compliance Manager a letter, email or phone call will be made to you acknowledging the receipt of the complaint within 2 days of receipt.
  5. We will attempt to resolve complaints as soon as possible. When a complaint cannot be resolved within 5 business days, correspondence acknowledging the receipt of the complaint and indicating a response time, shall be sent to you
  6. We aim provide the client with a written response to help resolve the complaints within 45 calendar days of receipt of the initial concern or complaint. If we are unable to resolve the complaint within 45 calendar days a letter or email will be provided to you which

-          informs the client of the reasons for the delay

-          provides the client with monthly updates on the progress of the complaint

-          specifies a date when a decision can be reasonably expected and

-          includes details of HLK’s approved External Dispute Resolution Scheme

  1. If you are not satisfied with the outcome of your complaint you have the right to refer the matter to the Financial Ombudsman Service (FOS). You should note that FOS will not consider a complaint until we have had the opportunity to address the complaint.

The Financial Ombudsman Service (FOS)

GPO BOX 3

Melbourne VIC 3001

Australia

Tel: 1800 367 287

Facsimile (03) 9613 6399

Email: info@fos.org.au

Web: www.fos.org.au

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