Complaints policy

What do I do if I have a complaint about a financial adviser?

In the first instance, you should try to resolve any problems or concerns with your financial adviser or their employer. If this is unsuccessful, you can get in touch with their dispute resolution scheme who will provide assistance in the event of a dispute. This information is available on the Ministry of Consumer Affairs website at

www.consumeraffairs.govt.nz

It is open to you to contact the Securities Commission if you have a complaint about a financial adviser or a broker. If you wish to draw a complaint about a Financial Adviser, please see Making a Complaint under the Financial Advisers Act. The Commission will investigate complaints if it considers they are sufficiently serious and may refer complaints about Authorised Financial Advisers to the Disciplinary Committee. For more information go to the Securities Commission website. At Goodlife Financial advice we adhere to the complaints policy and procedures of the Financial Markets Authority.

http://www.fma.govt.nz/