We are regulated by the Financial Markets Authority
The Financial Markets Authority (FMA) is doing a great job in legislating against legacy practices in financial services which have not always been in a client’s best interests.
Licensed advisers in New Zealand must now meet legal duties to meet standards of competence, knowledge and skill as detailed in a Code of Conduct. This means prioritising clients’ interests, exercising care diligence and skill and meeting standards of ethical behaviour, conduct and client care in the Code of Conduct. More information can be found on the Financial Markets Authority website at https://fma.govt.nz
It has always been part of our DNA, but now it is law!
We are free, without fear or favour, to act in our clients’ best interests.
Conflicts of interest are a major concern in the advisory space, and those who have conflicts need to declare how they manage them. Historically, conflicts of interest have compromised advice.
We have none!
Complaints Handling & Dispute ResolutionPrincipal Advisor
All Financial Services are required to have a Complaints Handling & Dispute Resolution procedure and an external disputes resolution scheme.
If you are not satisfied with our financial advice you can make a complaint by emailing email@example.com or by calling 03 3778046 or you can write to us at PO Box 3743 Christchurch.
We will consider your complaint and let you know how we intend to resolve it. We may need further information from you. We aim to resolve complaints within 10 working days and will let you know if we are unable to do so.
We will contact you by email or phone whether we can resolve your complaint and how we propose to do so.
If we cannot resolve the complaint you can contact our Disputes Resolution Scheme who will provide a free and independent dispute resolution service that will seek to investigate or resolve your complaint if we have not been able to do so.
You can contact Financial Service Complaints Ltd by emailing firstname.lastname@example.org or calling 0800 347 257. You can also write to them at PO Box 5967, Wellington 6140.