Feedback Policy

Purpose

This policy ensures all feedback provided to or about the firm - whether positive, constructive, or critical – is received, assessed, and addressed in a fair, timely, respectful, and consistent manner, in accordance with ASQM1 and applicable legal, regulatory, and professional requirements.

Feedback provides valuable insight into service quality, client experience, and the effectiveness of the firm’s System of Quality Management (SoQM).

The Managing Partner and Quality Committee affirm their commitment to an effective, transparent, and accessible feedback management framework and will ensure adequate resources, appropriate independence, and organisational support to maintain and continually improve the feedback process and the firms’ SoQM.

Scope

This policy applies to:

• All employees, managers, directors, and partners.
• Contractors, consultants, and service providers acting on behalf of the firm.
• All services, client interactions and operational activities performed by the firm.

This policy does not apply to internal employment-related grievances, which are managed separately though Human Resources.

Definitions

• Feedback: any comment, suggestion, compliment, or concern regarding the firm’s services, people, or processes that does not meet the definition of a complaint.
• Complaint: An expression of dissatisfaction about the firm’s services, staff conduct, information provided, or processes, where a response or resolution is explicitly or implicitly expected.
• Dispute Resolution Officer (DRO): Nominated by the Managing Partner to receive, coordinate and oversee the handling of complaints.
• Complainant: An individual or entity that makes a complaint to the firm, either directly or indirectly, regarding the firm’s services, staff conduct, information provided, or processes.

Principles

The firm’s feedback and complaints handling is guided by the following principles: visibility, accessibility, responsiveness, objectivity, confidentiality, accountability, fairness, transparency, impartiality, and continual improvement. The firm will ensure that complaint information and processes are accessible to people of all abilities, including the provision of interpreters, assistance for individuals with limited literacy, and alternative communication formats on request.

How to provide feedback

Feedback can be raised using the following methods:

• Online: via the Exant Advisory website here
• Phone: by calling our office on 3218 3900
• In-person: by coming to our office at Level11/307 Queen St, Brisbane City QLD 4000
• Email: by sending an email to: quality@exantadvisory.com

If the person providing the feedback prefers to use a method not listed above or requires assistance in lodging it, the firm will provide appropriate support to ensure accessibility.

Timeframes & communications

The firm will acknowledge, assess, and respond to feedback and complaints within reasonable and defined timeframes.

For complaints, initial acknowledgement will occur within three (3) business days of receipt.

The firm aims to provide a substantive response as soon as reasonably practicable and within twenty (20) business days. Where additional time is required, the complainant will be informed of the reasons and expected timeframe.

Independence, fairness & privacy

• Investigations are conducted by personnel with appropriate authority and independence, and free from conflicts of interest.
• Records are confidential and accessed on a need-to-know basis.
• No complainant will be disadvantaged for raising a concern, and staff involved in investigations are expected to declare any conflicts of interest.

Complaints handling process

The firm maintains a documented Feedback Procedure that sets out the step-by-step process for receiving, assessing, investigating, responding to, and closing feedback and complaints.

External bodies

Where a complainant is not satisfied with the outcome of the firm’s internal complaints process, they may choose to escalate the matter to an appropriate external body. Information about external escalation options will be provided in final responses where relevant.

External escalation options may include relevant professional bodies, regulators, or dispute resolution schemes, depending on the nature of the complaint.

Effective Date: September 2026