Our complaint handling and our dispute resolution process

Monex Securities Australia Pty Ltd (ABN 84 142 210 179) is an Australian Financial Services company known as MONEX Securities (AFSL 363972).

In this policy “MONEX Securities”, “we”, “our” and “us” have the same meaning.

Monex Securities is committed on providing our clients with service excellence and your feedback is important to us. If you are dissatisfied with our services, we’d like to hear about it as this so we can rectify the matter accordingly. 

In the event of a complaint regarding any aspect of the services we provide, the matter will be dealt with in line with our internal dispute resolution process. We are a member of an external dispute resolution scheme, Financial Ombudsman Service. In the event of a complaint, the Complaints Officer will attempt to deal with the matter under the internal dispute resolution process.

Making a Complaint

When you make a complaint to us we will:

  1. Acknowledge your complaint and make contact with you to gather any additional information so we can do everything to fix the issue or problem. 
  2. Keep you informed of our progress 
  3. Keep a record of your complaint
  4. Provide a final response within 45 days.

If we are unable to provide a final response to your complaint within 45 days, we will:

  •  Inform you of the reasons for the delay;
  •  Advise of your right to complain to the Financial Ombudsman Service (FOS); and
  •  Provide you with the FOS contact details.

Where and how you can complain

By phone  Calling us at +61 2  9103 9600 (9.00am – 5.00pm Sydney time) 
In writing The Complaints officer

Monex Securities Australia Pty Ltd  
Level 2, The Bond
36 Hickson Road
Sydney  NSW  2000
Email  complaints@monexsecurities.com.au

How we deal with your complaint

We take complaints seriously as they give us information about how we can improve our services to you. Monex has an internal complaints handling policy, which is available free of charge, that gives more detail about the complaints handling process. 

Internal complaints resolution process

If we cannot resolve your complaint on the spot we try to resolve it within a reasonable timeframe. Each complaint or dispute is logged on our register and assigned to an appropriate person to resolve. 

We aim to resolve most issues within 21 business days, although the Financial Ombudsman Scheme allows us 45 days. In some cases where there are complicated facts or circumstances and this will take longer than 45 days, in this event we will keep you updated regularly as to the progress of your complaint. 

External complaints resolution process

If you are not satisfied with the handling of your complaint, you can contact the Financial Ombudsman Service Limited (FOS) in relation to financial services complaints. Contact details are: 

Financial Ombudsman Service Australia  
GPO Box 3  
Melbourne Vic 3001 

Phone:                    1300 780 808
Fax:                         03 9613 6399  
Email:                       info@fos.org.au website:    www.fos.org.au

Alternatively, you can also contact ASIC on 1300 300 630 to make a complaint and to obtain further information about your rights. 

Date: 31 October 2017 (version 1.21)