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How to Set Up Your Complaints Disclosure
How to Set Up Your Complaints Disclosure

Setting up and using your complaints disclosure in Trail

Phoebe Rolfe avatar
Written by Phoebe Rolfe
Updated yesterday

Under the 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: When a complaint is received disclosure to be managed directly within the software. πŸ‘

In this article you will learn:

  • Setting Up Your Complaints Disclosure

  • What to include in your Disclosure

  • Using your complaints disclosure

  • More on Complaints Management


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 have the Business Admin permission with your Trail account, you can also edit the complaints disclosure for any of the advisers within your business through the Organisation Disclosure Settings in your Settings πŸ‘


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 the complainant/ client.

This email will contain your complaints disclosure as a locked PDF attachment that cannot be removed. It will use any wording that is in the textboxes of your Complaints Disclosure Settings, so make sure you set this up before sending out the Acknowledge Email!

Editing your Complaint Acknowledgement Email

You have to be the assigned "Compliance Officer" in your organisation (based on your Compliance Settings) to be able to edit the Complaint Acknowledgement Email Template.

You can do this in your Settings - under Email Templates.


More on Complaints Management


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