We were recently randomly selected by the Financial Markets Authority (FMA) — New Zealand’s financial markets conduct regulator — for a monitoring review. We’re now pleased to report that the outcome and feedback were overwhelmingly positive.
The review was a comprehensive assessment of our advice processes, documentation, and client service standards — and we’re proud to share that our systems, practices, and client care met and exceeded the FMA’s expectations, with no areas of concern identified.
What the FMA had to say
The FMA representative who led the review commended our firm for:
- Client-first approach: The FMA noted that we have a strong focus on customer care, with clear thought given to investment decisions made in the best interests of our clients. They commented on our portfolios being well constructed and they appreciated the ongoing work we do to tweak portfolios and stay up to date with the latest research.
- Operational excellence: The FMA team found our processes seamless and efficient, with all documentation provided promptly and professionally. They recognised that we’re a close-knit team who genuinely support each other, and that we’re passionate and really care about our advice.
- Industry leadership: Our internal policies were so well-regarded that the FMA requested copies to use as examples.
Apart from one minor adjustment to one of our processes, there were no formal requests or follow-ups required — a rare and positive outcome that highlights the robustness of our systems and the care we bring to every client interaction.
Why this matters
This recognition from the FMA reinforces what we’ve always believed: that doing things the right way, with integrity and diligence, truly matters. It’s a reflection of the trust our clients place in us and the high standards we hold ourselves to every day.
We’re growing
As we continue to grow, we’re always looking to support more people with trusted, personalised financial advice. If you or someone you know could benefit from a conversation with a financial adviser, we’d be honoured to help.
Thank you to the FMA
We’d also like to acknowledge the FMA for their thorough yet collaborative approach throughout the review process. Their professionalism and clear communication made the experience straightforward and constructive, and we appreciated how easy they were to engage with at every stage.