Reviewing your Complaint Handling Process

One of the criteria for eligibility for ATAS Accreditation is that applicants must be committed to the efficient and effective resolution of complaints and disputes pursuant to clause 2.5 (k) of the ATAS Charter.

AFTA recommends that ATAS participants review their complaints policy and process regularly to ensure staff are kept abreast of their obligations under the ATAS Code of Conduct.

ATAS Participants are required to notify their customers by appropriate means:

a) when a dispute with a client arises, as to the participant’s internal process; and

b) when the customer is not satisfied in regard to the final outcome of the participant’s internal process, as to the available external process, that is, escalation to the ATAS Compliance Manager.

Either a customer or ATAS participant may escalate a complaint to the ATAS Compliance Manager, who will review the complaint and may undertake an investigation into the complaint. The ATAS Compliance Manager may seek to resolve the complaint by mutual agreement or refer the complaint to the ATAS Complaint Appeal Committee (ACAC).

The ACAC is an independent review body specifically established under ATAS to review and determine customer complaints, and allegations of non-compliance with the ATAS Charter and Code. The ACAC may impose a range of requirements as a result of an investigation of your complaint including:

• Rectification orders including providing a full or partial refund;
• Improvement Notices;
• Warning Notices;
• Publication Orders;
• Public Notification;
• Re-training Order; or
• Suspension or cancellation of ATAS accreditation.
  

To understand your obligations under the ATAS Complaints Handling Process please refer to the ATAS Code of Conduct or contact the Compliance team at compliance@afta.com.au.