Duties Statement.
Enrich Financial and our financial advisers who provide financial advice on our behalf have duties under the Financial Markets Conduct Act 2013 relating to the way that advice is given.
We are required to:
- give priority to your interests by taking all reasonable steps to make sure our advice isn’t materially influenced by our own interests
- exercise care, diligence, and skill in providing you with advice
- meet standards of competence, knowledge and skill set by the Code of Professional Conduct for Financial Advice Services (these are designed to make sure that we have the expertise needed to provide you with advice)
- meet standards of ethical behaviour, conduct and client care set by the Code of Professional Conduct for Financial Advice Services (these are designed to make sure we treat you as we should, and give you suitable advice).
This is only a summary of the duties that we have. More information is available by contacting us or by visiting the Financial Markets Authority website at www.fma.govt.nz.
Controls.
Key Control
Complaints Register
How Implemented
The CEO will be updated by the Register controller of any complaint which highlights a deficiency with Enrich’s duties statement and make corrections.
Responsibility
CEO
Related Policies.
- Code of Conduct Policy
- Disclosure Statement
- Conflict of Interest Policy
Other References.
- Financial Markets Conduct Act 2013
- Financial Services Legislation Amendment Act 2019
Review of Duties Statement.
This duties statement and supporting procedures will be reviewed at least annually or whenever a change or event necessitates.
Approval.
Chief Executive Officer: Rodney Varga
Version Control.
2023.1
The expectations of life depend upon diligence; the mechanic that would perfect his work must first sharpen his tools.”
Confucius