Complaints Handling Policy Template for AFSL & ACL Holders: Company details section for customization, including name, ACN, ABN, licenses, and services.
Complaints Handling Policy Template: Table of contents from Click Legal document for AFSL & ACL Holders
Complaints Handling Policy Template: Document control, obligations, related policies & procedures tables.

Complaints Handling Policy (AFSL & ACL)

For AFSL/ACL internal dispute resolution

Original price was: $950.00.Current price is: $539.00. +GST

Purchase Template
Use this template to:
  • Document how your business handles complaints & disputes for AFSL / ACL obligations
  • Align your IDR process with the Corporations Act, ASIC RG 104 & RG 271 and AFCA standards
  • Log, track & review complaints using the included complaints register
  • Give staff clear steps to acknowledge, investigate & resolve complaints for retail & wholesale clients

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Complaints Handling Policy (AFSL & ACL) document control, version history, obligations, related policies and procedures.

About this Document

Use this template if you:
  • Hold an AFSL or ACL & need a written complaints handling policy
  • Want your internal dispute resolution process to reflect ASIC & AFCA expectations
  • Need a simple way to record, classify & track complaints over time
  • Want staff to know exactly what to do when a client raises a concern or dispute
It is suited to:
  • AFSL / ACL holders serving retail & wholesale clients
  • Fintechs, regtechs, credit providers & platform businesses
  • Advisers, brokers & wholesale advisory firms
  • Other financial services businesses that must meet IDR & AFCA standards
What this template covers:
  • How your business defines a complaint & which matters fall into IDR
  • How clients can lodge complaints & what they can expect in response
  • Timeframes, acknowledgement, updates & resolution steps in line with RG 271
  • Escalation, systemic issue identification & reporting to management or Board
  • How & when matters may be referred to AFCA or other external bodies
  • Complaints register fields to capture key details, status & outcomes
  • Alignment with the Corporations Act 2001 (Cth), ASIC guidance & AS ISO 10002-2014 principles
You receive an editable Word document with placeholders for your company name, AFSL / ACL details, services, contacts & roles, plus a complaints register you can adapt to your systems. It gives you a practical base for AFSL / ACL complaints handling, while still leaving room for tailored legal advice if your structure or products are complex.

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