Regulatory & Policies
Regulatory & Policies
Section titled “Regulatory & Policies”This section groups together the governance and policy context that supports a professional advisory relationship.
Privacy
Clients should understand how their information is collected, used, stored, and protected.
Complaints
A clear complaints pathway should exist if a client needs to raise a concern formally.
Disclosure context
Important regulatory and service information should be available without being hidden or hard to find.
Practice structure
Adviser, broker, product, and compliance roles should be understandable so clients know how support is organised.
What clients should expect to find here
Section titled “What clients should expect to find here”- privacy and personal-information handling information,
- complaints and escalation guidance,
- disclosure and regulatory context relevant to the advisory relationship,
- and selected supporting reference documents where they help explain the operating structure.
Complaints and governance approach
Section titled “Complaints and governance approach”A professional advice practice should make it easy for clients to raise concerns, request clarification, and understand how matters will be handled if something needs to be escalated.
Where a complaint or formal concern arises, the appropriate policy, contact route, and supporting record should be used so the matter can be handled properly and fairly.
Reference PDF
Fairbairn Broker Branding Reference
Supporting reference material that helps explain part of the wider broker-service presentation context behind the practice.