Making a complaint about an ARITA Member
ARITA members have an obligation to adhere to ARITA’s Code of Professional Practice which sets and manages standards of professional conduct.
Maintaining and improving professional standards is one of ARITA’s core objectives.
ARITA has powers to investigate complaints against members in relation to their professional conduct as a practitioner. Complaints are important and will be properly dealt with. They generally fall into three categories:
- misunderstanding of the processes being undertaken, often caused by a failure of effective communication by the appointee
- matters that can be readily resolved by following informal inquiry by ARITA
- serious matters requiring further action.
We have no authority to intervene if the person you are complaining about is not a member of ARITA, and the complaint is specific to that person. If your complaint is about a practitioner who is not an ARITA member, but relates to firm procedures involving ARITA members, we may have authority to deal with your complaint.
If ARITA is not able to receive and investigate a complaint, we will assist you in finding the right regulator to ensure your complaint goes to the right area. ASIC regulates corporate appointments and AFSA regulates personal appointments If you have separately made a complaint to either of these regulators, please indicate this when lodging your complaint with ARITA.
Before you make a formal complaint to us, or a regulator, we recommend that you attempt to resolve the issue directly with the practitioner. If you have been unable to resolve the matter directly and wish to lodge a formal complaint, please refer to the complaints procedures set out below.
ARITA’s complaints procedures are set out in these documents. These procedures should be read in conjunction with the ARITA Complaints Investigation Process.
ARITA Complaints Investigation Procedures
ARITA Complaints Investigation Process – Overview flow diagram
All complaints should be lodged using the ARITA complaints form:
In addition to complaints received, ARITA also investigates concerns against members in relation to their professional conduct as a practitioner. A concern is similar to a complaint, but arises from information available to ARITA about the professional conduct of a member as a practitioner other than by way of a complaint.
Circumstances giving rise to a concern may be identified to or by ARITA via a number of means. This includes, but is not limited to:
- Recorded judgments or other court documents or transcripts that relate or refer to the conduct of a member;
- Announcements or advice of action taken by a regulator or another professional body;
- Media articles; or
- General feedback from external parties, including other members.
Our Concerns investigation procedures are set out here, and in this Concern Investigation Process - Overview flow diagram.
Behaviour not related to professional conduct
ARITA is also able to take action where it is considered that a member has brought the reputation or standing of ARITA or the insolvency profession into disrepute, even if the behaviour is not related to their professional conduct.
The matters are dealt with separately to the complaints and concerns procedures.