AFSL License number: 298902 (+61) 2 9247 8533 tnicklin@shed-ent.com.au

Complaints Policy and Procedure

Shed Enterprises (Shed) is committed to ensuring that any person or organisation using services provided by Shed or affected by its operations has the right to lodge a complaint and to have their concerns addressed in ways that ensure access and
equity, fairness, accountability and transparency.

The organisation will provide a complaints management procedure that: 

    • is simple and easy to use 
    • is available to all clients and stakeholders 
    • ensures complaints are fairly assessed and responded to promptly 
    • is procedurally fair and follows principles of natural justice 
    • complies with legislative requirements. 

Our Commitment

If you make a complaint to Shed you can expect that we will: 

    • treat you with respect 
    • tell you what to expect while your complaint is being looked into 
    • carry out the complaint handling process in a fair and open way 
    • provide reasons for decisions that are made 
    • protect your privacy 

What can I make a complaint about?

You can make a complaint to Shed about the delivery of Shed services, per contract terms.

Shed Enterprises undertakes customer service handling per the terms disclosed within some customer contracts. Shed Enterprises does not have the authority to directly investigate complaints about these organisations. If you have a complaint regarding one of our customers, we recommend that you discuss the complaint with the organisation directly.

A person wishing to make a complaint may do so in writing or verbally to:

    • the staff member they were dealing with at the time, unless you are making a complaint about this person 
    • The Operations Manager 
    • the Chief Operating Officer or Chief Executive, or

If the complaint is about: 

    • a product or service delivered by Shed, the complaint will normally be dealt with by the relevant relationship manager 
    • a staff member, the complaint will normally be dealt with by the relevant senior manager 
    • a senior staff member, the complaint will normally be dealt with by the Chief Operating Officer or the Chief Executive 
    • the Chief Operating Officer, the complaint will normally be dealt with by the Chief Executive Shed Enterprises 
    • the Chief Executive, the complaint will normally be dealt with by the Chief Operating Officer 
    • Internal complaints, where a staff member makes a complaint concerning another staff member, will be dealt with in accordance with the Grievance Policy of Shed Enterprises 

Written complaints may be sent to the attention of the Operations Manager. The Operations Manager will be responsible for receiving this correspondence and directing it to the appropriate person. 

Procedure for compaints management

The person managing the complaint will be responsible for: 

1. REGISTERING THE COMPLAINT: 

registering the complaint in the Shed Enterprises complaints register 

informing the complainant that their complaint has been received and providing them with information about the process and time frame 

2. INVESTIGATING THE COMPLAINT: 

examining the complaint within 5 working days of the complaint being received 

informing the complainant by letter within 10 working days of the complaint being received of what is being done to investigate and resolve it, and the expected time frame for resolution. 

As far as possible, complaints will be investigated and resolved within 20 working days of being received. If this time frame cannot be met, the complainant will be informed of the reasons why and of the alternative time frame for resolution. 

3. RESOLVING THE COMPLAINT: 

making a decision or referring to the appropriate people for a decision within 20 working days of the complaint being received 

Informing the complainant of the outcome and any options for further action if required 

4. WHAT IF I AM UNHAPPY WITH THE RESOLUTION? 

If you are not happy with the outcomes of a complaint, you may be able to lodge a complaint with the Ombudsman in your state. The Ombudsman’s office will determine if it has the power to investigate your complaint. 

https://www.afca.org.au/ – The Australian Financial Complaints Authority 

RECORD KEEPING 

A register of complaints will be kept by Shed Enterprises. The register will be maintained by the Operations Manager and will record the following for each complaint: 

Details of the complainant and the nature of the complaint 

  • Date lodged 
  • Action taken 
  • Date of resolution and reason for decision 
  • Indication of complainant being notified of outcome 
  • Complainant response and any further action 

Copies of all correspondence and other materials received by Shed in connection with any complaints will be kept for 7 years. 

The complaints register and files will be confidential and access is restricted to the Operations Manager, the Chief Operating Officer, and the Chief Executive. 

A statistical summary of complaints will also be kept by Shed Enterprises and maintained by the Operations Manager. The Operations Manager will be responsible for preparing a report on received feedback and complaints once month to the Chief Operating Officer, and the Chief Executive. 

 

  • Anthony Cope joined Shed Enterprises  in May 2022 from CMC Markets where he was a Senior Relationship Manager for high-net-worth clients on the high net worth Stockbroking Desk. Anthony attended the University of Missouri – St Louis, where he completed a BSc double major in Business Management and International Business.

    While in the United States, he completed the FINRA Series 65 exam, and during his time at CMC Markets he became RG146 compliant and completed both Authorised Derivatives Advisor 1 and 2.

  • Rugby Kliousis is a Business Development Manager with a specific focus on the institutional and private wealth sectors. Prior to Shed, Rugby was a Senior Associate at stockbroker CMC Markets covering high net worth relationships.

    Rugby holds a Bachelor of Business ( International Business) and a Bachelor of Commerce ( Finance) from the University of Newcastle. Rugby is RG146 qualified in Securities, Derivatives and FX. Rugby is currently studying a Masters of Real-Estate Investment, at UTS.

  • Philip McLean is a Senior Business Development Manager and Investment Specialist, focusing on sales, strategic planning and distribution of investment opportunities to target investor markets with a focus on wholesale, middle market and private wealth capital pools.

    Philip brings over 21 years’ experience to this role having worked across financial markets; covering stockbroking, investment banking, investment and funds management, portfolio management, relationship management and sales.

    Philip holds a B Bus major in Economics and a Grad Diploma in Applied Finance from Kaplan which includes RG146 qualifications in securities, managed investment schemes, superannuation and insurance.

  • Trish Nicklin is the Shed COO, responsible for Shed Program Management capability, service delivery, business governance and administration. Trish has over 30 years’ experience as an Operations and Client Executive in global investment banks, custodians, and financial markets.

    Trish holds a Post Graduate degree in Business Leadership from Charles Sturt University and Business Transformation from the Australian National University, Dipl in Business + Dipl Superannuation, an Assoc Dipl in Accounting and is RG146 qualified in Securities, Superannuation and Managed investment schemes.

    Trish is a member of the Governance Institute of Australia and holds a Certificate in Governance Practice and Risk Management.

  • Rugby Kliousis joined Shed Enterprises in 2021 as a Business Development Associate working alongside senior sales managers in service delivery of sales data and investor information to customers including research, marketing and data analytics.

    Previously Rugby worked for CMC markets ( Stockbroking) as a client executive, where he was responsible for account management, customer planning and education, analytics, reporting, marketing and sales for high net worth clients.

    Rugby holds a Bachelor of Business ( International Business) and a Bachelor of Commerce ( Finance) from the University of Newcastle. Rugby is RG146 qualified in Securities, Derivatives and FX.

  • sheridan_lee

    Sheridan Lee

    EXECUTIVE CHAIR & MANAGING DIRECTOR

      +61 2 9247 8533   +61 411 101 492
     slee@shed-ent.com.au

    Sheridan Lee is the principal and CEO of Shed Enterprises a business which she founded over 25 years ago, bringing some of the best ideas and capabilities from around the world to the Australian market with a proven track record in capital raise and brand distribution.

    In her early career Sheridan was editor for premier financial publications BRW and Personal Investor and was a founding editor of Super Review before moving into executive leadership roles across marketing and business development with premium global financial institutions.

    Sheridan holds a B Economics from the University of Sydney and is an active board director in both for and not for profit sectors.

  • Marina Borges joined Shed Enterprises in 2021 as a part time Executive Assistant to the CEO, and Office Manager supporting our CEO and team in general administration and event management.

    Marina was a lecturer of History of Peru via the ESAN Graduate School of Business and was the Academic Program Manager for Masters Programs in History and Law at the Catholic University of Peru. Prior to this, Marina worked at the General Museums Division of the Peruvian Ministry of Culture as an assistant to the national and international loan program for Peruvian cultural heritage. Marina holds a master’s degree in History from the Catholic University of Peru (PUCP).

  • Anthony Cope joined Shed Enterprises as a Business Development Manager in May 2022 from CMC Markets where he was a Senior Relationship Manager for high-net-worth clients on the Stockbroking Desk.

    Anthony attended the University of Missouri – St Louis, where he completed a BSc double major in Business Management and International Business. While in the United States, he completed the FINRA Series 65 exam, and is RG146 compliant in Securities, Derivatives and FX. Anthony has completed both Authorised Derivatives Advisor 1 and 2 qualifications.