NZ Financial Advisor Code of Conduct

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Here at Simple Money, I believe the Financial Advisor Code of Conduct is only the foundation of how I treat my clients.

As a US Air Force officer, I believed in the core values of integrity first, service before self, and excellence in all we do. I continue to live these core values in how I treat my clients.

PART 1: ETHICAL BEHAVIOUR, CONDUCT, AND CLIENT CARE

  1. Treat clients fairly
  2. Act with integrity
  3. Give financial advice that is suitable
  4. Ensure that the client understands the financial advice
  5. Protect client information

PART 2: COMPETENCE, KNOWLEDGE, AND SKILL

  1. Have general competence, knowledge, and skill
  2. Have particular competence, knowledge, and skill for designing an
    investment plan
  3. Have particular competence, knowledge, and skill for product advice
  4. Continually develop competence, knowledge, and skill