[ARCHIVE] Internal dispute resolution

Note: This article is out of date and has been archived.

Please refer to the Accreditation guidelines for the most up to date information.

Archived Text

Question

Do non-financial service providers need to comply with Regulatory Guide 165 for the purpose of meeting the internal dispute resolution obligation for accreditation?

Answer

Yes. Applicants for accreditation who are not financial services providers are required to develop an internal dispute resolution policy compliant with the Australian Securities and Investments Commission’s Regulatory Guide 165 Licensing: Internal and External Dispute Resolution, as in force from time to time, which is tailored to their business.