RG 165 Licensing: Internal and external dispute resolution

Reissued 30 July 2020

This guide explains what AFS licensees, unlicensed product issuers, unlicensed secondary sellers, credit licensees, credit representatives, unlicensed carried over instrument lenders (unlicensed COI lenders) and securitisation bodies must do to have a dispute resolution system in place that meets ASIC’s requirements.

Note: This guide applies to complaints received by financial firms before 5 October 2021, when Regulatory Guide 271 Internal dispute resolution (RG 271) comes into effect. We will withdraw RG 165 on 5 October 2022.

This guide should be read in conjunction with Regulatory Guide 267 Oversight of the Australian Financial Complaints Authority (RG 267).

Download RG 165 (PDF 805 KB)

Last updated: 30/07/2020 12:00