Code Standard Number one puts all this legislation right into perspective.
“An Authorised Financial Adviser must place the interests of the client first, and must act with integrity”
Q. What does all this mean for me as a client of Auckland City Brokers Ltd
A. Well the key point is that the Director Richard Hurley is now an AFA and was one of the first in Auckland to be so authorised by the Securities Commission.
In a nutshell however our clients will notice little change. Our Company has been compliant with a best practice model since 2002 in anticipation of these new legal requirements.
Processes of; Disclosure, Written Advice, Compliance and Technology have been continuously upgraded and audited during that period. Placing the client first has ensured the growth and success of the business through both the good, as well as the bad times, that we have recently experienced.
To view or download a copy of the Disclosure Statement for Richard Hurley click the link below.