Financial Advisers (Complaints Handling and Resolution) Regulations 2021

  Table of Contents

  Enacting Formula

1 Citation and commencement

2 Definitions

3 Application

4 Obligation to establish unit to handle and resolve complaints

5 Obligation to establish complaints handling and resolution process

6 Oversight of compliance with Regulations

7 Information on complaints handling and resolution process to be publicly available

8 Establishment of system for managing complaints, etc.

9 Biannual reports

10 Written directions to financial adviser or class of financial advisers to conduct review of compliance with business conduct requirements

11 Offences