Complaints
If you have a complaint about my financial advice or the service I gave you, you need to tell me about it.
You can contact my internal complaints service by phoning or emailing me (Subject line: Complaint – Your Name). Please set out the nature of your complaint and the resolution you are seeking. I aim to acknowledge receipt of this within 24 hours. I will then record your complaint in our Complaints Register and will work with you to resolve your complaint. I may want to meet with you to better understand your issues. I aim to provide an answer to you within 7 working days of receiving your complaint.
If we cannot agree on a resolution, you can refer your complaint to our external dispute resolution service. This service is independent and will cost you nothing, and will assist us to resolve things with you. The name of this service and their contact details are:
Financial Dispute Resolution Service
enquiries@fdrs.org.nz
0508 337 337
https://fdrs.org.nz/
Freepost 231075 PO Box 2272 Wellington 6140
My Duties
I am bound by and support the duties set out in the Financial Markets Conduct Act 2013. These duties are to:
- Meet the standards of competence, knowledge, and skill set out in the Code of Professional Conduct for
- Financial Advice Services (Code).
- Give priority to my client’s interests.
- Exercise care, diligence, and skill.
- Meet the standards of ethical behaviour, conduct, and client care set out in the Code.
Availability of Information
This information can be provided in hard copy upon your request.