Under the new FSLAA regulations, you are required to provide certain information to a client if they lodge a complaint against you. Trail makes this easy by allowing the Stage 4: Information that must be given if complaint received disclosure to be managed directly within the software.

Setting Up Your Complaints Disclosure

Your complaints disclosure is automatically set up using a placeholder template in the Disclosure Settings section of Trail.

Before you start acknowledging complaints, you must edit this template and insert your own personal information in the spaces provided.

  1. Navigate to your Disclosure Settings (found under Personal Settings)

  2. Select Complaints Disclosure from the drop-down menu.

  3. Replace any of the placeholder text in the text box with your own information:

  4. Click on "Download Sample" to download a preview of what your complaints disclosure will look like when it is sent out (the sample will contain placeholder data instead of client data).

What to include in your Disclosure

You may also use your own template if you have one, but it is important that it includes the following information about your business:

  • An overview of your business' internal complaints process; and

  • The following information about your dispute resolution scheme:

    • A statement about the complainant having access to a free, independent dispute resolution service, which may help to investigate or resolve the complaint if it is not resolved using the internal complaints process;

    • the name of the disputes resolution scheme your business is a member of;

    • the scheme's contact details.

If you are a Business Admin Trail account, you can also edit the complaints disclosure for any of the advisers within your business through the Organisation Disclosure Settings under the Organisation Settings heading.

Using your complaints disclosure

To make it as easy as possible, the complaints disclosure is included as a locked attachment (PDF) in your Complaints Acknowledgement email.

When a complaint is lodged, you can choose to send an acknowledgement email to a client. This email will contain your complaints disclosure as a locked attachment that cannot be removed. It will use any wording that is in the textbox in your complaints Disclosure Settings page, so make sure you set this up immediately.

Editing your Complaint Acknowledgement Email

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