Our Approach to Complaints

Apt Wealth Partners endeavours to provide its clients with the best advice and service at all times. If you are not satisfied with our services, then we encourage you to contact us.

You can direct your complaint to your financial adviser in the first instance or, alternatively, you can use our complaint resolution process. Apt Wealth Partners has a positive complaint resolution culture which welcomes and values feedback. Our complaints management systems are reviewed regularly and has staff specifically trained to assist our clients in complaint management.

You can download a copy of the Apt Wealth Partners Brochure “How Apt Wealth Partners manage Complaints” here.

If you have a complaint you can contact Apt Wealth Partners in any of the following ways:

• Please call 02 8262 4000 (our office hours are between 8.30am – 5.30pm Monday to Friday (AEST)
• Sent a written complaint to Complaints Officer, PO Box R1437 Royal Exchange NSW 1225
• By email to compliance@aptwealth.com.au.

If you have a complaint you should contact your financial adviser in the first instance to tell them about your complaint. Your financial adviser can assist you in trying to resolve your complaint.

Please provide as much details as possible about your complaint including:

• Your full name and contact details;
• Any details of the service, product or provider;
• Any supporting information; and
• Requested resolution.

Where your financial adviser is unable to resolve your complaint, we will :

• Acknowledge the receipt of your complaint in writing within 24 hours;
• We will then explain our process to resolve your complaint;
• Inform you who will be managing your complaint; and
• Provide you with our brochure on “How Apt Wealth Partners manage Complaints”

If you are not satisfied with our response after 30 days, you can lodge your complaint with the Australian Financial Complaints Authority (AFCA).  Apt Wealth Partners is a member of AFCA with a membership number 43811. AFCA provides fair and independent financial services complaint resolution which is free to consumers.

You can contact AFCA:

• By telephone -1800 931 678 (free call)
• In writing (by mail) – Australian Financial Complaints Authority, GPO Box 3, Melbourne VIC 3001
• By email – info@afca.org.au
• Website – www.afca.org.au

Apt Wealth Partners relies on an exemption from licensing in New Zealand available to Australian Financial Services Licensees. The New Zealand Financial Services Regulator, Financial Markets Authority (FMA), have confirmed this exemption from Licensing and a copy of this exemption is available on their website. If you have a complaint regarding advice on a New Zealand investment this may fall within the jurisdiction of New Zealand. We recommend contacting us in the first instance to confirm whether your complaint should be dealt with in New Zealand.

For complaints about New Zealand investments, Apt Wealth Partners is a member of a New Zealand Dispute Resolution Service, Financial Service Complaints Limited (FSCL). Our FSCL Membership Number is 9167. The contact details for FSCL are as follows:

Financial Services Complaints Limited
PO Box 5967
Wellington 6140
Phone: 0800 347 257 or 04 472 3725
Email: complaints@fscl.org.nz

Apt Wealth Partners ensures clients requiring additional assistance or have accessibility issues are able to access the Apt Wealth Partners complaints resolution process.

This includes providing accessibility through a range of language and formats:

• Using Australian Sign Language (AUSLAN) video presentations of material;
• Offering text telephone (TTY) and the National Relay Service (NRS); and
• Offering translation services or making staff available who are cross-culturally trained

If you require further assistance contact your financial adviser, the Apt Wealth Complaints Officer or send an email to compliance@aptwealth.com.au.

The Apt Wealth Partners Privacy Policy extends to the management of complaints and covers the collection, use and disclosure of information in relation to a complaint. Apt Wealth Partners respects the privacy and confidentiality of the information provided by you and adheres to the Australian Privacy Principles. Please read the separate Privacy Policy.