Complaints and Claims Process

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Dispute Resolution Service Process

The process for a complaint or claim against a financial services provider who is a member of a Dispute Resolution Service (DRS) is generally as follows:

Letter of Complaint or Demand

Lodge Application with a DRS

Lodge Supporting DRS

Dispute Resolution Service provides Recommendation

If Recommendation not accepted DRS proceeds to final Determination

Conciliation or Settlement Attempts

Final Determination is binding only on the financial services provider

You may proceed to court if you do not like final Determination

Claim Process

The process for a litigated claim against a financial services or professional service provider through court proceedings is generally as follows:


• Legal analysis of merits of claim
• Letter of demand or offer
• Pre-litigation settlement attempts
• Statements of Proof


• File Statement of Claim
• Production or discovery of documents (excluding equity)
• Directions Hearings
• Interlocutory Hearings
• Service of lay and expert evidence
• Court ordered mediation
• Trial hearing
• Costs negotiations, hearings or assessments

Appeal Litigation

• Appeals
• Costs negotiations, hearings or assessments
Disclaimer: This guide constitutes a summary of the information of the subject matter covered. This information is of a general nature and should not in any way be construed as legal advice.

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