Making a Complaint:

Theta has a formal process for the handling of complaints. If you have a complaint, it is better that it is made in writing although you can, of course, call. To assist with handling your complaint in a timely and efficient manner, you should provide full details of the complaint, with supporting documentation and clearly identify the resolution you are seeking. Ensure that you also include your full name, client or investment account number and contact details. Complaints should be attention to:

Compliance Manager
Theta Asset Management Ltd
PO Box Q423
QVB Sydney NSW 1230
Phone +61 2 8012 0638

We will let you know that we have received your complaint and the Compliance Manager will aim to resolve your complaint within 45 days. If it is not possible to resolve your complaint within 45 days, we will inform you of the status of your complaint and the reasons for the delay.

If you are not satisfied with our final response, you may lodge a complaint with the Australian Financial Complaints Authority:

Phone: 1800 931 678 (free call)
Mail: Australian Financial Complaints Authority
GPO Box 3, Melbourne VIC 3001

Time limits may apply to complain to AFCA and so you should act promptly or otherwise consult the AFCA website to find out if or when the time limit relevant to your circumstances expires.