Complaints

The SIM VSE 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 SIM VSE listed companies
• Poor execution of an order
• Possible violations of trading rules by any broker participant
• SIM VSE 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. 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 SIM VSE Broker Participants:

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

TO MAKE A COMPLAINT

If you would like to file a complaint, you can email or post the following details:

By Email (info@simvse.com.au)
SIM VSE Complaint
Name
E-mail
Phone
Name of Company or Security
Postal Address
Complaint Details

By Post
Chairperson, Compliance Committee
SIM Venture Securities Exchange
PO Box R1794
Royal Exchange
NSW 1225
Australia