Annual declaration

Username

Passphrase

I have conducted an active review process with any Summer members for which a trail payment is received.

Yes

N/A, I do not currently have any Summer members for which I am receiving a trail payment

I have not and no employees associated with the Financial Advice Provider have distributed any materials in relation to the scheme not approved or provided by Forsyth Barr Limited and we maintain a supply of the current Product Disclosure Statements.

True, I/we have distributed the correct materials and have a supply of the current PDS

False, I/we have distributed incorrect materials and/or don't have a supply of the current PDS

I have notified Forsyth Barr Limited in writing of any complaints in relation to the scheme generally or financial advice given by either myself or any employees associated with the Financial Advice Provider in relation to the scheme.

Yes

No complaints received

I have notified Forsyth Barr Limited in writing of any privacy breaches in relation to any of the Financial Advice Providers clients who are members of the scheme.

Yes

No privacy breaches to report

I have notified Forsyth Barr Limited in writing of any members who whom my firm deals with who are vulnerable customers as defined in the FMA guidance note.

Yes

No members to notify as vulnerable

Are all your financial advisers linked to your FAP?

Yes

Please tick if they were all:

AFAs prior to 15 March 2021

have successfully completed version 1 or 2 of the New Zealand Certificate in Financial Services (Level 5), including the relevant specialist product strand in relation to investing in managed investment schemes and switching between funds in a scheme, or

have a relevant equivalent qualification approved by the Financial Advice providers Governance Committee. If so please specify.

If no one option above is applicable for all financial advisers linked to your FAP, please specify.

All financial advisers associated with the financial advice provider have interacted with members in accordance with good customer outcomes and complied with associated relevant law regulating conduct in the financial service industry.

Yes, all advisers have interacted in accordance with good customer outcomes and complied with relevant law

No, not all advisers have interacted in accordance with good customer outcomes and/or complied with relevant law

I as a director of the Financial Advice Provider have maintained all the necessary registrations, authorisations licences and permissions in relation to the Financial Advice Provider.

True

False

I have not and no employee of my business has been the subject of any investigation or disciplinary action by any regulatory body or been the subject of any adverse decision by a dispute resolution body or tribunal in the last five years.

True

False

If false, then please describe.

I have not and no employee of my business have had any legal proceedings issued against them, in the last five years?

True

False

If false, then please describe.

Financial Advice Provider

Director name

Email address

Contact phone number

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