Disclosure Statement of Financial Adviser & Financial Advisor Entity:
This disclosure statement was last updated on: 04/10/2016
Initio is regulated by the Financial Markets Authority, establish by the Government to regulate capital markets and financial services in New Zealand. Initio Limited is a Registered Financial Service Provider (FSP Number FSP523166).
What Sort of Advisor are we?
We/I are a Register Financial Advisor. We are not, however, authorised to give advice in relation to securities, land investment products, futures contracts, or investment-linked contracts of insurance.
We can give you advice about insurance / insurance contracts, other than investment-linked contracts of insurance.
What should you do if something goes wrong?
If you have a problem, concern, or complaint about any part of our/my service, please tell me or Initio, so that our internal complaints procedure can try to fix the problem.
Click here to see our Internal Complaints Procedure
How am I regulated by the Government?
You can check that we are formally registered on the Financial Service Providers Register at http://www.fspr.govt.nz
The Financial Markets Authority regulates financial advisers. Contact the Financial Markets Authority for more information, including financial tips and warnings.
You can report information or complain about our conduct to the Financial Markets Authority, but in the event of a disagreement, you may choose to first use the dispute resolution procedures described above.
I, Rene Swindley as an individual, and on behalf of Initio Limited declare that, to the best of my knowledge and belief, the information contained in this disclosure statement is true and complete and complies with the disclosure requirements in the Financial Advisers Act 2008 and the Financial Advisers (Disclosure) Regulations 2010.
Authorised and Signed:
R T Swindley