Stone Leaf Capital
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Complaints

Complaints Handling and Dispute Resolution

Stone Leaf Capital Securities Limited (ACN 667 580 734) is committed to fair client treatment and to handling complaints promptly, fairly and consistently. This page explains how to make a complaint and how we will deal with it, in line with our Complaints Handling and Dispute Resolution Policy, ASIC Regulatory Guide RG 165, the Privacy Act 1988 (Cth) and section 912A of the Corporations Act 2001 (Cth).

Issued by

Stone Leaf Capital Securities Limited
ACN 667 580 734

Effective

10 March 2026 · Version 4

Definition

What is a complaint

A complaint is any expression of dissatisfaction made to or about us, relating to our products, services, staff or the handling of a complaint, where a response or resolution is explicitly or implicitly expected or legally required (as defined by AS/NZS 10002:2014). A complaint can be made by any person — you do not have to be a client — and can be made in writing or verbally.

How to complain

How to make a complaint

Lodge a complaint

Email [email protected], write to us at Stone Leaf Capital Securities Limited, Level 35, Riparian Plaza, 71 Eagle Street, Brisbane QLD 4000, or raise your complaint verbally with your usual Stone Leaf Capital contact.

Please tell us your name and contact details, what your complaint is about, and the outcome you are seeking. This helps us resolve your complaint as quickly as possible.

Our approach

How we handle your complaint

Your complaint will be reviewed carefully and promptly by an appropriately appointed person who was not involved in the subject matter of the complaint. We treat all complaints in confidence and disclose details only to those involved in the resolution process.

Throughout the process you will be:

  • treated with respect and provided with the documentation and evidence relevant to your concerns;
  • informed of our complaints-handling process, including the avenues for further review such as an external dispute resolution scheme; and
  • informed of our decision and the reasons for it.

Timeframes

Timeframes for our response

We aim to resolve complaints as quickly as possible. If your complaint is resolved to your satisfaction by the end of the fifth business day after we receive it, and you have not asked for a written response, we generally will not need to issue a formal final response (except for complaints involving hardship, which may still require one).

If your complaint is not resolved by the fifth business day, we will send you a written acknowledgement. We will then provide a written final response within 45 days (or within 21 days where the complaint relates to default or hardship), setting out:

  • the outcome of your complaint;
  • your right to take the matter to an external dispute resolution scheme, regardless of the outcome of our investigation; and
  • the name and contact details of the relevant external dispute resolution scheme.

If we are unable to provide a final response within the relevant period, we will write to you before the end of that period to explain why, advise you of your right to take the matter to external dispute resolution, and provide that scheme's contact details. Other than where a limitation period is about to expire, we will not commence or continue legal proceedings or other enforcement action during our internal dispute resolution process and for at least 14 days after giving a final response.

External review

External dispute resolution

Where an external dispute resolution scheme applies to your complaint, we will provide you with the name and contact details of the relevant scheme in our final response. Stone Leaf Capital Securities Limited holds a wholesale-only Australian Financial Services Licence; membership of the Australian Financial Complaints Authority (AFCA) is not required for our wholesale client base.

Records

Records and continuous improvement

All complaints are recorded in our Complaints Register by the Compliance Officer, including the date received, the subject of the complaint, acknowledgements sent, the outcome of our investigation, the timeframes of actions taken, and the written response issued. We carry out root-cause analysis on the complaints we receive so that we can improve our products, services and client service.