Disclosures

Licenses held

 

I am an Authorised Financial Adviser 25924. In March 2021 the licensing regime changes and I will be a Financial Adviser, operating under Morton Delany Investment Consulting Ltd Financial Advice Provider license, which holds a transitional license with the Financial Markets Authority.

Types of Products and Providers

The main products I recommend are managed funds and may include unit trusts, KiwiSaver, Exchange traded funds or index funds. These will mainly be through a third party online wrap platform.

I will recommend providers where the research takes me depending upon your needs.
in 2020 the types of providers I have recommended include (but are not limited to) Simplicity, Harbour Funds Management, Dimensional, iShares, Smartshares, ANZ, Booster, Pathfinder, Polar Capital, to name a few

 

When do you pay fees

 

These are usually payable after you have received an Investment Plan which is written especially for you. 

If you nominate me as your investment adviser on an ongoing basis after agreeing to this investment plan, fees are usually paid monthly out of your investment account.

Commissions/Service Fee

 

If you choose ANZ, Booster, Fisher Funds as your KiwiSaver provider and nominate me as your investment adviser, they will pay me a service fee to manage your KiwiSaver account.

Complaints Procedures

 

Should a client have an issue and wish to complain, the process in place is that any complaint needs to be put into writing. The adviser will respond also in writing, and if a resolution cannot be reached, an external discputes resolution service will be used. Morton Delany currently use the Insurance and Savings Ombudsman.

 

A disclosure statement is available free of charge upon request.

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