Complaint handling and 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, Australian Financial Complaints Authority. 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 contact you within 2 business days acknowledging receipt of your complaint 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 Australian Financial Complaints Authority (AFCA). Monex AU is a member of AFCA, the member number is 24293; and
  • Provide you with the AFCA contact details.

Where and how you can complain

By phone

+61 2 9103 9600 (9.00am – 5.00pm EST)

In writing

The Complaints officer

Monex Securities Australia Pty Ltd
Level 11
300 George Street
Sydney NSW 2000


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 Complaint 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. 

The external dispute resolution Scheme allows us to resolve issues within 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 Australian Financial Complaints Authority (AFCA) in relation to financial services complaints. Contact details are:

Australian Financial Complaints Authority
GPO Box 3  
Melbourne VIC 3001

Phone: 1800 931 678
Fax: +61 (03) 9613 6399

you can now lodge complaints online by visiting their website at Alternatively, you can also contact ASIC on 1300 300 630 to make a complaint and to obtain further information about your rights.

Date: 1 November 2019 (Version 1.4)