Complaints – Financial Planning

If you have a complaint about the service provided by us you should:

Let us know your concerns. We value your feedback and the opportunity to improve our service. In the first instance, please let us know your concerns. Alternatively, you can email or write setting out details of your complaint to:The Complaints Manager, Infocus Securities Australia Pty Ltd (Infocus).
Email: support@infocus.com.au;
or Post: PO Box 1856, Sunshine Plaza QLD 4558;
or Telephone (07) 5406 5000.
Outline the specific areas of service, which have not met with your satisfaction. Detail in your letter, as simply as possible, all the facts relating to your complaint and how you believe we can investigate and resolve this matter to your satisfaction.
Infocus will investigate your complaint and will make every effort to ensure you receive a fair and prompt reply. Infocus will endeavour to resolve your complaint within 30 business days. We will keep you informed of what is happening to your complaint if this investigation cannot be resolved within this time.
If you still do not get a satisfactory outcome, you have the right to take the complaint to an external dispute resolution scheme.

Infocus is a member of the external complaints resolution scheme operated by the Australian Financial Complaints Authority (AFCA). AFCA provide free advice and assistance to customers not satisfied with the responses provided by member companies to their complaints. AFCA may undertake an independent external investigation of the complaint or enquiry. Member companies like Infocus are bound by any decisions made by AFCA.

You can write to the Australian Financial Complaints Authority:

Online: www.afca.org.au
Email: info@afca.org.au
Phone: 1800 931 678
Mail: Australian Financial Complaints Authority
GPO Box 3
Melbourne VIC 3001

Complaints – Accounting

As tax agents, Simmons Livingstone & Associates is committed to upholding our professional and regulatory obligations, including with the Tax Agent Services Act 2009 (TASA) which includes the Code of Professional Conduct as regulated by the Tax Practitioners Board (TPB).

A full list of our registered tax agents can be accessed via the TPB Public Register. https://www.tpb.gov.au/public-register

Obligations
Under s45 of the Tax Agent Services (Code of Professional Conduct) Determination 2024, Simmons Livingstone & Associates is required to advise current and prospective tax clients of various prescribed matters as set out below.

TPB Public Register
The Tax Practitioners Board maintains a searchable register of tax agents and BAS agents. The Register also includes details of past breaches of the Tax Agent Code of Professional Conduct and specific sanctions imposed on tax agents. https://www.tpb.gov.au/public-register

Rights, Responsibilities and Obligations
As tax agents, we must comply with the TASA including the Code of Professional Conduct along with other legislative and professional standard obligations to our clients as well as the Australian Taxation Office (ATO) and TPB. Our clients also have obligations to comply with taxation laws, as well as being truthful with information provided, keeping complete records, and if required, providing them on a timely basis, being co-operative with requests and meeting due dates as requested by tax agents.

Further information about tax agent and client obligations is available on the TPB website, refer ‘Information for Clients’ fact sheet.

Events affecting Tax Agents
Tax practitioners are required to disclose and provide details of any of the events prescribed under s45(1)(d) of the Tax Agent Services (Code of Professional Conduct) Determination 2024 that have occurred involving the practitioner since 1 July 2022. As at 1 July 2025, we are not aware of any such matters relevant to Agent entities. If a prescribed event occurs after 1 July 2025, we are required to disclose the matter within 30 days of the event.

Tax Agent Registrations subject to conditions
Tax practitioners are required to disclose any conditions limiting the breadth of tax services that can be provided through the agency. You can search the TPB register for details of any conditions imposed on an entity’s (including individuals) tax agent registration.

COMPLAINTS PROCESS:

Complaints and allegations are taken seriously with the view to achieving a prompt resolution. A client’s complaint is promptly acknowledged and they are kept informed as to the progress of resolution of their complaint.

All complaints are documented in a Client Complaint Form.

Generally, the steps taken to resolve a complaint are:

listen carefully and with empathy to what the client has to say;
ask relevant questions to gather all necessary information;
consider potential options for resolution of the complaint, including options preferred by the client;
if necessary, apologise without blaming;
if required, seek assistance/guidance from IPA;
resolve the complaint effectively and efficiently
communicate the resolution of the complaint directly with the client; and
if the complaint is not resolved, advise the client of alternative actions they may take including referral to an external party such as IPA, ASIC or the ATO.

Every complaint received is carefully examined to determine if there is a weakness or opportunity to improve the Practice’s SOQM.

The Practice’s Professional Indemnity Insurance provider is notified if necessary.

Making a Complaint

To begin your complaints process, email admin@simmonslivingstone.com.au and our team will provide you with next steps.