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                   Complaints Procedure, Disclosure & Disclaimer

Disclosure

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Complaints Procedure

With the introduction of the Financial Service Providers (Registration and Dispute Resolution) Act, all financial service providers (FSP) are required to be members of an approved external dispute resolution scheme.   Peak Portfolio Management Ltd is a member of FSCL (Financial Services Complaints Ltd). If you have a complaint about any aspect of our service please contact Shelley Hanna.  If you have any complaints you should call us first, in an endeavour to come to a mutually satisfactory resolution. We will provide you with information about our internal complaints process, the Financial Markets Authority, and my Disputes Resolution Scheme, FSCL (Financial Services Complaints Ltd). I will try in the first instance to resolve the complaint internally.   If I am unable to resolve your complaint to your satisfaction, then you may make the complaint to the FSCL (Financial Services Complaints Ltd) of which we are a member. 

All complaints not resolved by Peak Portfolio Management Ltd after 40 days are referred to FSCL as part of the resolution process.  This has a three-step process. We are bound by the outcome of that process. You can choose to be bound by the outcome but you can also choose to pursue other legal avenues. FSCL’s service does not cost you anything. The FSCL contact details are:

Website:                      www.fscl.org.nz
Email:                          info@fscl.org.nz
Telephone:                   0800 347 257
 
Postal Address:             PO Box 5967
                                  Lambton Quay
                                  Wellington 6145
In the event that the first two steps prove unsatisfactory then a complaints process exists within Financial Advice New Zealand, of which I am a member and by which I am bound. Financial Advice New Zealand can be contacted at P.O. Box 5513, Wellington, Ph: 0800 432101.
 
Any complaints referred to Financial Advice New Zealand are recorded, and then investigated to determine likely degree of seriousness, then depending on the level of severity handled by Financial Advice New Zealand National Office staff directly with the client concerned, or referred on to a Professional Complaints Committee consisting of a legally qualified chair-person and two professionally credentialed advisers to resolve.
 
This can be a lengthy and sometimes frustrating process for those involved, and is restricted to only those complaints that breach Financial Advice New Zealand’s own rules. It does not allow for civil litigation. I would urge any dissatisfied clients to resolve any issues personally and directly with me if at all possible.’

Some complaints can be made directly to the Financial Markets Authority.  You can find guidance on Financial Adviser complaints on their website here.

 
Disclaimer

The information provided and services described in this website is only intended for residents of New Zealand.  The information contained in this website is of a general nature and may not be relevant to individual circumstances.  Nothing in this website is, or should be taken as, an offer or recommendation to buy or sell any investment or make specific financial decisions.  We recommend that you consult a professional adviser before making any financial decisions.

Peak Portfolio Management Limited believes the information in this publication is correct, and has reasonable grounds to support any opinion or recommendation found within this website at the time of writing. However, no liability is accepted for any loss or damage incurred by any person as a result of any error in any information, opinion or recommendation in this website or in any website linked to this website.  Peak Portfolio Management Limited does not warrant that the information accessible via this site is accurate, complete or current. Peak Portfolio Management Limited reserves the right to change this site without notice, to make improvements and/or alterations to information, prices, products, services and materials, as well as to the operating and navigational systems provided to facilitate site access or use.

Copyright in this website including images, information, brands and logos are owned by Peak Portfolio Management Limited. You must not reproduce or distribute content from this website or any part of it without permission. 

 

Read our Disclosure Document here.