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Financial Advice Provider - Peak Portfolio Management Limited

Our business details

Peak Portfolio Management Limited holds a transitional licence issued by the Financial Markets Authority to provide financial advice services. The company's Financial Services Provider Number is 702451.

Peak Portfolio Management Limited is majority owned by Financial Adviser & Sole Practitioner Shelley Hanna Financial Services Provider Number 12241

Our office contact details 84 Longlands Road East, Hastings, New Zealand 4172 Phone 06 870 3838 Mobile 021 406643

Email shelley.hanna@peak.net.nz

Website www.peak.net.nz

Nature and Scope of financial advice services

Our Services

-Investment strategies -KiwiSaver investment strategies -Retirement Planning

Products we can advise on

-Managed investments -KiwiSaver investments -Listed shares and bonds

We do not generally provide financial advice on products not listed above. However, some clients may have investments in other financial products. Where this is the case, we may provide advice on those products as part of providing financial advice to these clients.

Product providers we may recommend

-Select Wealth Management Limited -NZ Funds Management Limited -Aon KiwiSaver -Booster KiwiSaver -Fisher Funds KiwiSaver

Our Fees

The actual fee charged to you will depend on the nature and scope of the advice or service we provide. We will discuss and agree the actual fees with you before we proceed and explain how they are payable.

The following section outlines the types of fees that may apply:

The fees charged for our advice and services is a combination of a set hourly rate of $115 and/or a percentage-based fee from 0.35% to 1.15% - GST inclusive. Fees will be confirmed in my statement of advice which I will provide to you.

Our agreed advice and service fees may include charges for initial advice, ongoing or annual advice and services.

For services in relation to KiwiSaver commissions may be paid by the product provider as follows:

-Initial commission for new business -Ongoing commission as a percentage of the value of your investment balance calculated and quarterly or monthly.

Conflicts of Interest

We are here for our clients and to advise you as best we can. Your interests are our priority although we do have business relationships with product providers also. From time to time our product providers assist with funding so that we can attend conferences and professional development training. We also receive remuneration from KiwiSaver providers as commission. We manage these conflicts of interest by ensuring that we prioritise your interests above our own. The advice we provide is based on understanding your goals and circumstances and providing recommendations which are based on research. I have a Register of Conflict which allows me to actively manage any conflicts which arise.

Our internal complaints process

If you have a problem, concern or complaint about any part of our advice or service, please tell us so that we can try to fix the problem. Please contact Shelley Hanna shelley.hanna@peak.net.nz or 06 870 3838. Shelley will reply to you within 24 hours.

Our external complaints process

If we cannot agree on how to fix the issue, or if you decide not to use the internal complaints process, you can contact our external disputes resolution scheme FSCL (Financial Services Complaints Ltd). This service will cost you nothing and will help us resolve any disagreements. You can contact FSCL at 0800 347 257 or infor@fscl.org.nz

Duties Information

I am bound by the duties of the Financial Markets Conduct Act to: Meet the standards of competence, knowledge and skill set out in the Code of Conduct; give priority to the client’s interests and exercise care, diligence and skill and meet the standards of ethical behaviour, conduct and client care set out in the Code of Conduct.