Regulatory standing and oversight.
NWG Financial Services maintains the compliance arrangements expected of a modern Australian Financial Services Licensee.
Professional Indemnity Insurance
NWG Financial Services maintains professional indemnity insurance that complies with section 912B of the Corporations Act 2001 and ASIC Regulatory Guide 126.
External Dispute Resolution
NWG Financial Services is a member of the Australian Financial Complaints Authority (AFCA), the external dispute resolution scheme for the financial services sector.
- AFCA Membership Number: 93068
- Phone: 1800 931 678
- Email: info@afca.org.au
- Website: afca.org.au
- Mail: GPO Box 3, Melbourne VIC 3001
Internal Complaints Process
NWG Financial Services takes complaints seriously and maintains an internal dispute resolution process consistent with ASIC Regulatory Guide 271. Complaints can be directed to afsl@new-wave.com.au or by phone on 07 5623 3095.
We aim to acknowledge complaints within one business day and provide a written response within 30 calendar days.
Code of Ethics
All financial advisers operating under AFSL 538619 are bound by the Financial Planners and Advisers Code of Ethics 2019.
Reportable Situations
NWG Financial Services complies with the reportable situations regime under section 912DAA of the Corporations Act 2001 and reports material breaches to ASIC within the required timeframes.