As per the FBAA Code of Ethics, a fair and independent complaints review system has been established to protect clients and hold members to a high standard of process and integrity.
Breaches of the Code will be dealt with through the FBAA Conduct Review and Disciplinary System. It is intended that the system is accessible, independent, reasonable, fair, effective and accountable. A breach of the Code includes non-compliance with the Code’s rules and guidelines, plus unspecified illegal or unlawful conduct, unsatisfactory professional conduct and professional misconduct.
A complaint about bloodstock industry misconduct that does not involve a Member can be made to the FBAA Complaints Advisory Panel, who will direct it to the appropriate Principal Racing Authority.
Complaints Advisory Panel
The Complaints Advisory Panel was appointed by FBAA Member poll per the criteria set by the Code of Ethics.
Hamish Esplin, Chaiman- legal practitioner
Craig Rounsefell – the appointed President of the FBAA
Vin Cox – an independent person held in high esteem and character in the thoroughbred industry, with significant relevant experience and high business integrity.
Complaints Form and Process
If the Panel receives a complaint it will:
(a) disclose the complaint report to the respondent within five  days;
(b) review the complaint report and conduct background research, including consultation with the specific Sale Company involved in the sale, if relevant,
days of the complaint being lodged;
(c) if the Panel unanimously decides there is substance to the complaint, a conference with the complainant is to be held, which the respondent must attend.
14 days notice of the conference will be given to all parties;
(d) at that conference, which may take place in one or more sittings, the Panel will seek to assist the complainant and the respondent to achieve an agreed
settlement of the dispute;
(e) if, after the conference, the Panel unanimously agrees that the respondent may have acted illegally or unlawfully or against the Rules of Racing, the case will be
referred to the Principal Racing Authority in that jurisdiction;
(f) if a settlement cannot be reached, the Panel may make such directions and use such procedures as it considers are appropriate to assist the parties to settle the
(ii) mediation; or
(iii) neutral evaluation, but it may not seek to determine the dispute by way of arbitration or determination.
Where the Panel unanimously agrees a Member has failed to comply with one of the Code provisions, the Panel may take disciplinary action for that breach and impose FBAA Membership sanctions as determined at its discretion.