Surety Compliance Partners

Complaints Handling Process

Introduction

Surety Compliance Limited ACN 127523193 is mindful of the need to ensure that clients are treated fairly and consistently, and that we handle complaints or disputes internally in an efficient, timely and effective manner. This Complaint Handling Policy are aimed at ensuring that clients’ expressions of dissatisfaction are heard and that Surety Compliance Limited addresses them genuinely, efficiently and effectively. We believe that addressing complaints in this way can also assist us to improve our business systems, products and services*.

Complaints Covered by these Procedures

Any complaint made to Surety Compliance Limited ACN 127523193 by a client about its products or services, or the complaints handling process itself, is covered by these complaint handling procedures.

Lodging a Complaint

You can lodge a complaint by contacting Surety Compliance Limited ACN 127523193 as follows:

Email: communications@suretycompliance.com.au

Post: Unit 2/28 Canton Beach Road, Toukley NSW 2263

To help us investigate and resolve your complaint effectively, please provide us with the following information with your complaint:

Your full name, address and contact phone number(s);
A description of your complaint;
Any supporting documentation or information that may support your complaint and assist us to resolve it; and
How you would like us to address your complaint.

Complaint Handling Process

If we receive your compliant in writing we will acknowledge receipt of it immediately.

Surety Compliance Limited ACN 127523193 will attempt to resolve your complaint within 30 days.

If you are dissatisfied with how we dealt with your complaint, please let us know and we will undertake a further review of your concerns. If you are still dissatisfied with the outcome and you are resident in Australia, you have the right to refer your complaint to our external dispute resolution scheme, the Australian Financial Complaints Authority. Their contact details are as follows:

Australian Financial Complaints Authority

Online: www.afca.org.au

Email: info@afca.org.au

Phone: 1800 931 678 (free call)

Post:

Australian Financial Complaints Authority

Reply Paid 252

GPO Box 3

Melbourne VIC 3001

*RG165.43 and RG165.44 of the Regulatory Guide 165 ‘Licensing: Internal and external dispute resolution’

Surety Compliance Limited ACN 127523193 is the holder of the Australian Financial Services Licence no. 322620. It is the Responsible Entity for the Private Investment Fund (ARSN 661 395 482). Although the Australian Securities and Investment Commission (ASIC), has provided a licenses to the above entities, you should be aware that ASIC neither endorses, supports nor approves of any information, claims, products or services provided by AFSL 322620 and/or its agents or representatives.

The Target Market Determinations (TMD) for all investment products are freely available to the general public here and can be requested by emailing communications@suretycompliance.com.au

General Advice – Any advice provided is limited to general financial product advice which we provide, for example, in our offer documents, investment newsletters, investor reports and website material. This information generally relates to offer features, investment opportunities, managing risk and return, property market commentaries and/or general economic overviews. AFSL 322620 does not provide personal financial product advice to retail clients. Before you make any investment decision, we recommend that you obtain advice tailored to address your individual objectives, financial situation and needs from a licensed professional financial adviser.

Privacy Disclaimer – A copy of the privacy policy is available by visiting the privacy policy or on request from our Investor Services team.

Future Profits Disclaimer – Past performance does not guarantee future performance. There can be no guarantee the assumptions and contingencies on which the forward looking statements, opinions and estimates are based will ultimately prove to be valid or accurate. The forward looking statements, opinions and estimates depend on various factors, many of which are outside the control of AFSL322620, Responsible Entity or Private Investment Fund.

S734 Restrictions on Advertising & Publicity – The information shared on the website is not a direct or indirect offer made by the Licensee, Responsible Entity and/or its agents or representatives.