Step 2: Contact the individual or company

 

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The next step to make a formal complaint is to contact the adviser directly.

First, take some time to clearly define the issue and the outcome you expect. This can help you make a stronger case and put you in a better position to get the results you want.

Put together a file of all relevant documents, such as application forms, agreements and account statements. Keep copies of letters, faxes, e-mails and notes of conversations.

Be sure to keep notes of who you spoke with and what was discussed. When making a complaint, be clear about what went wrong and when. State the outcome you expect, such as an apology, money back, or an account correction.

If you are not satisfied with the response from your adviser, continue to Step 3> Escalate to management.
 
*If your complaint does not involve an adviser, click here.