Money I have invested (financial services and advice)

Disputes about financial services or advice

ASIC does not settle disputes about financial services or advice. You can try to resolve a dispute through the financial firm's internal dispute resolution (IDR) process.

If the dispute cannot be settled internally, you can try external dispute resolution (EDR) through the Australian Financial Complaints Authority (AFCA). For more information, see Disputes with financial firms (INFO 174).

AFCA is an independent external dispute resolution scheme that deals with consumer and small business disputes about financial firms. See What to do if you are dissatisfied with a decision by AFCA (INFO 176).

ASIC's consumer website Moneysmart also provides a step-by-step guide to resolving problems with financial services or advice, such as managed investments, superannuation and insurance.

If there is evidence that a financial services provider has acted illegally, we may consider taking action. See Report misconduct to ASIC.

Frozen funds

Frozen funds are registered managed investment schemes that have suspended investors’ rights to redeem their investments (get their money back). For more information, see Your investments: Frozen funds and hardship payments (INFO 159).

Watch our video on Your investments: Frozen funds and hardship payments.

Or read the transcript.

Information on the Financial Advisers Register

If you are concerned about the information provided by an Australian financial services (AFS) licensee on the Financial Advisers Register, see Report inaccurate information on the Financial Advisers Register.

If you want to correct inaccurate information about financial advisers on the Register, see Maintain (update) or correct a financial advisers details.


Guidance for company officers and company auditors on the whistleblower protection regime

30 June 2020

Information sheets to help companies, company officers and company auditors understand and comply with their whistleblower protection obligations

Whistleblower protections

Answers to common questions on the rights and protections for whistleblowers

Business ethics: New challenges, better theories, practical solutions
A speech by ASIC Commissioner John Price, 9 December 2019. John discusses the important role whistleblowing can play in fostering an ethical culture for business.

ASIC gives guidance on companies’ whistleblower policies and relief to small not-for-profits
Media release 19-308MR. 13 November 2019

Whistleblower protections for not-for-profit organisations, 29 May 2019


Whistleblowers and the Corporations Act

Corporations Act Whistleblowing

ASIC Executive Director Warren Day talks about whistleblowers and the important role they play in identifying and calling out misconduct and harm to consumers and the community.

Read the transcript

ASIC and whistleblowers

Asic Whistleblower Thmb

ASIC Executive Director Warren Day discusses when ASIC will act on whistleblowing information.

Read the transcript

Fair Work Ombudsman

You can contact the Fair Work Ombudsman if you would like to report someone who isn't complying with workplace laws or you need help in resolving a workplace issue.

Last updated: 07/05/2021 04:18