Trusted Adviser Form

Are you a member of Financial Advice NZ? *

Yes No

The Trusted Adviser mark is only available to members of Financial Advice New Zealand. If you would like to become a member, please contact us on info@financialadvice.nz or call on 0800 432 101. We would welcome the opportunity to share the benefits of joining Financial Advice NZ.

Do you currently hold one of Financial Advice NZ's pinnacle marks of CLU or CFP? *

Yes No

CFP and CLU Professionals are Trusted Advisers

The Association acknowledges the professionalism of members who have chosen to gain and keep the pinnacle marks of CLU and CFP, therefore you are deemed to have met the Trusted Adviser criteria without any further questions.

For clarity, you are deemed compliant for as long as you hold an up to date Practising Certificate for your pinnacle mark as we respect that the conditions of the pinnacle marks are more stringent than those of the Trusted Adviser mark.

Are you an AFA or RFA (without a pinnacle mark) *

Registered Financial Adviser Authorised Financial Adviser and have been a member of Financial Advice NZ since launch in July 2018 Authorised Financial Adviser and joined after launch

As an AFA and a Founding Member of Financial Advice NZ, we already have enough information to know you meet most aspects of the criteria therefore we assume you will qualify as a Trusted Adviser. We only ask for you to confirm three aspects of the criteria as below.

Currently actively giving advice - Founding AFA *

I declare that I am currently a financial adviser actively providing regulated financial advice to retail clients (and not just involved in the process of giving advice)

Professional Indemnity - Founding AFA *

I declare that I am covered by an appropriate Professional Indemnity policy which I can provide details about on request.

Ethics - Founding AFA *

I agree to attend an Association, or Association endorsed, Ethics in Financial Services 3 hour course within the next 12 months

EDUCATION

Criteria: Have a Level 5 qualification in Financial Services, including the relevant strands for the advice areas provided, or a higher qualification recognised by Financial Advice NZ.

Education - please upload a copy of your qualification for our records *

I have a Level 5 qualification in Financial Services, including the relevant strands for the advice areas I provide I have a higher qualification which I wish to be considered as meeting this criteria.

Other qualification - please add country, Training Institute and name of qualification *

Please upload a copy of your qualification *

Browse files for upload

EXPERIENCE

Criteria: Currently a financial adviser providing regulated financial advice to retail clients and has been for at least the last three years.

Experience *

I declare that I am currently a financial adviser providing regulated financial advice to retail clients and have been for at least the last three years.

FSPR number *

Year of registration as shown on the FSPR *

Additional experience information if required

CONTINUED PROFESSIONAL DEVELOPMENT

Criteria: Maintain an annual Professional Development Plan and attain a minimum of 20 hours relevant structured CPD every year.

Professional Development *

I declare that I have an up to date Professional Development Plan which can be made available on request.

Continued Professional Development *

I have attained at least 20 hours of relevant structured CPD each year for the last two years.

CPD Log verification *

My CPD log is recorded on the Financial Advice CPD system, please review my log there I have a manual log of my CPD which I can upload

Please upload evidence of your participation in at least 20 hours of relevant structured CPD in each of the last two years. *

Browse files to upload

Additional CPD information if required

ETHICS

Criteria: Attend an Association, or Association endorsed, Ethics in Financial Services three-hour workshop every three years.

Ethics *

I accept my application will remain as pending until I have completed the Ethics workshop (the first workshop will be delivered online before February).

PROFESSIONAL INDEMNITY

Criteria: Be protected by appropriate Professional Indemnity Insurance, as expected of a professional.

Professional Indemnity *

I declare that I am covered by an appropriate Professional Indemnity policy which I can provide details about on request.

Ongoing Requirements

I acknowlege that my use of the Trusted Adviser mark is granted on the following ongoing conditions and that I can be asked to provide evidence that the following is true;

I remain a financial member of Financial Advice NZ
I remain actively giving financial advice to retail clients
I maintain an annual Professional Development Plan and gain a minimum of 20 hours relevant structured CPD every year
I will attend an Association, or Association endorsed, Ethics in Financial Services three-hour workshop every three years
I will continue to be protected by appropriate Professional Indemnity Insurance, as expected of a professional.

Name *

First Name Last Name

Email *

Register your interest *

Please register my interest in using the Trusted Adviser mark. I agree to use the Trusted Adviser mark as guided by Financial Advice NZ and to not represent that it provides any form of guarantee or warranty by Financial Advice NZ to members of the public or to any other party.

Declaration *

I hereby declare that I am the person named in this application and that all information provided in this application is true and correct.

Signature (please use your mouse to provide this digital signature) *

Clear

*

I submit this is a reasonable representation of my signature

NEXT STEPS

Your form will be acknowledged upon receipt. It will be reviewed and we will contact you to confim your registration as a Trusted Adviser, or to ask for further information.

PRIVACY STATEMENT

The information you have provided will be used to confirm you qualify as a Financial Advice NZ Trusted Adviser. The information will be available to Financial Advice NZ and its officers and will be kept for reference on your member file in our CRM system. You can read our full Privacy Policy here. The information is captured through jotform.com. You can read their privacy policy here.

You have the right to ask for a copy of any personal information we hold about you, and to ask for it to be corrected if you think it is wrong. If you’d like to ask for a copy of your information, or to have it corrected, please contact us at privacy@financialadvice.nz, or 0800 432 101, or PO Box 5513 Wellington.

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Trusted Adviser Application