Lodging a Complaint

Auscap Asset Management Limited (Auscap) intends to continue to develop a leading funds management business that has a reputation for outperformance, strong risk management, a positive culture and integrity.

However, if there is something that we have done (or not done) that you are unhappy about, you can lodge a complaint by contacting us through any of the following:

  • By mail: Auscap Asset Management Limited, Level 30, 9 Castlereagh Street, Sydney, NSW 2000, Australia
  • By email:
  • By phone: +61 2 8378 0800

If you require any assistance to lodge a complaint, please consider asking someone to help you. We will accept a complaint made by someone on your behalf, such as your financial or legal adviser, a member of your family, a friend or a member of parliament.

To help us investigate and resolve your complaint efficiently, please try to provide us with all the details of your complaint, including any prior contact you have had with us on the issue or complaint (such as who you had contact with and when). 

Auscap’s key steps for dealing with complaints

We will:

  1. acknowledge that we have received your complaint within 24-hours (or one business day), or as soon as practicable, from when we receive it;
  2. start our assessment of your complaint as soon as we have gathered all of the necessary information, and give it fair and genuine consideration;
  3. do our best to resolve your complaint as quickly as possible with a fair outcome, ideally within five (5) business days from when we receive your complaint; and
  4. in the event that your complaint is not resolved within five (5) business days from when we have received it, provide you with our response to your complaint within thirty (30) calendar days. The response will be in writing and will let you know the final outcome of your complaint, such as confirmation of steps we have taken to fully resolve your complaint, or reasons for our rejection or partial rejection of your complaint, and your right to take the complaint to the Australian Financial Complaints Authority (AFCA) if you are not satisfied with our response; or otherwise
  5. where we cannot provide a response within thirty (30) calendar days, notify you of the reasons for the delay, your rights to complain to AFCA and AFCA’s contact details.

We will not provide a written response to your complaint if we have closed your complaint within five (5) business days from when we receive it because:

  • the complaint has been resolved to your satisfaction and you have not requested a response in writing; or
  • we have provided an explanation and/or apology when we cannot take further action to reasonably address the complaint.

What if your complaint is not resolved to your satisfaction?

If your complaint has not been resolved to your satisfaction through Auscap’s internal processes, you can choose to lodge your complaint with AFCA – a free and independent dispute resolution service established by the Commonwealth Government for the financial services industry.

AFCA can be contacted through any of the following:

  • By mail: Australian Financial Complaints Authority, GPO Box 3, Melbourne VIC 3001
  • Via AFCA’s website: (click “Make a complaint” and follow the link to “Start the complaint process”)
  • By email:
  • By phone: 1800 931 678 (free call)