COMPLAINTS

COMPLAINTS PROCESS

The Stock Exchange of Newcastle (NSX) takes pride in providing the highest degree of market integrity.   With this in mind, we welcome all  efforts by the public to ensure that  we maintain excellence in regulation.

Examples of situations you might want to file a complaint on are:

	Disclosure practices of NSX listed companies;
	Poor execution of an order;
	Possible violations of trading rules by any broker participant;
	NSX Listing rules;
	Possible insider trading or market manipulation.

Detail to be provided when making a complaint:

1. Name of the security,
2. The names of any people and organisations you have dealt with,
3. The date or dates of the activity,
4. As well as a full description of the complaint. 
5. Your complete address and contact phone number in case we need more information and to provide you with feedback on the action we have taken.

Complaints about NSX Broker Participants:

1. In the first instance, all complaints about a Broker Participants should be addressed to that Broker Participant. 
2. If you have exhausted your options with the Broker Participants and are still unhappy about their response then you can register a complaint with ASIC.

TO MAKE A COMPLAINT

Methods for making a complaint:
If you would like to file a complaint, you have several options: NSX Form, Email or Post

  NSX Complaints Form

Name
E-mail
Phone
Name of Company or Security
Postal Address
Complaint Details

  By Email:

  By Post:

Chairperson, Compliance Committee
Stock Exchange of Newcastle
  Australia.