One of the requirements for transitional licensing is having an internal complaints register and process. When this feature within Trail is activated it will allow complaints to be lodged internally by your users or externally by clients or other people. This will help you with your compliance obligations moving forward. 

Before you can start receiving and handling complaints in Trail you will want to make sure it is set up properly to fit with the process your business will follow.

Changing your compliance settings

Navigate to your Compliance Settings tab to customise the complaints process for your business. Make sure you have set and considered the following: 

  1. Who is your compliance officer?

  2. Who would you like to review new complaints? 

  3. Select your disputes resolution provider

  4. Set your complaints review timeframes

These settings will allow you to customize how your business uses Trail's complaints module. 

Assigning a complaints officer
Here you can select who your organisation's Compliance Officer is, all complaints will be assigned to them for final sign off before they can be closed within the system. It's important this member of your team is well trained in handling complaints, and understands the responsibilities of their role. 

Assigning someone to review new complaints
When a new complaint is received, someone within the business will need to review them. This can be:

  1. The adviser who received the complaint

  2. The compliance officer

  3. Any other member of your business

We suggest you choose a person to initially review complaints based on their competency and capacity to handle complaints. This will differ depending on the size and nature of your business. 

Selecting your disputes resolution provider
Information about your disputes resolution provider is made available to all complainants. Make sure this is correct.

Estimating response times to complaints
It is also important to estimate how long you expect it will take for someone in your business to acknowledge a complaint and how long you expect it to take to resolve a complaint as these are used in the confirmation email sent to clients when they lodge a complaint. Make sure these are reasonably achievable by your business. 

Customising your compliance email templates

Note: Click here for more information on setting up email templates

There are two email templates used for emails sent to clients during the complaints process that can be customised to your liking. One is sent when the complaint is made and the other is sent once the complaint has been closed. These are standardised to help you meet your regulatory obligations. 

The compliance officer of your organisation is able to change the content of the email or add in any additional information you can do so by editing the related template.

Adding a button to your website so the public can lodge complaints

In Trail you can create a button which can be added to your website. This can be used by anyone, even if they don't have an account within Trail to lodge a complaint. It will link the information directly to Trail, entering your complaints process in the prescribed format. 

Feel free to reach out to our support team if you need help styling and implementing this button on your website. 

If you have any questions about your compliance settings or the complaints process please get in touch by phone or by email at compliance@gettrail.com.

Did this answer your question?