• 0800 404 202

Our Disclosure Notice

Licence Information

Hallam Jones Insurance and Superannuation Ltd (FSP38182) holds a transitional licence issued by the Financial Markets Authority to provide a financial advice service with regard to the below financial products.

Nature and Scope of the Financial Advice Provided

Hallam Jones Insurance and Superannuation Ltd provides financial advice and investment planning services relating to the following financial products:

KiwiSaver, superannuation and investment products:

  • NZ Funds
  • Booster
  • AMP

Insurance products provided by:

  • Partners Life
  • AMP
  • AIA
  • Fidelity
  • Cigna
  • Asteron
  • NIB
  • Southern Cross

Fire & General products provided by:

  • Insurance Adviser Net

The advice we will give depends on your requirements. We will discuss these in detail when you meet us.
Hallam Jones Insurance and Superannuation Ltd does not generally provide financial advice on products listed above. However, some clients may have investments in other financial products. Where this is the case, we may provide advice on those products as part of providing financial advice to these clients.

These products are:

  • Shares
  • Property
  • Bitcoin

Fees and Expenses

Hallam Jones Insurance and Superannuation Ltd may charge the following fees for financial advice:

  • an initial advice fee for the time involved in meeting a client, obtaining all necessary information, and preparing and presenting a financial strategy;
  • an ongoing financial advice fee for the provision of ongoing financial advice services; and
  • where requested by a client, undertaking a specific assignment, for which an agreed consultancy fee may be charged.

Duties

Hallam Jones Insurance and Superannuation Ltd, and anyone who gives financial advice on our behalf, have legal duties relating to the way that we give advice. We must:

  • give priority to our clients’ interests by taking all reasonable steps to make sure our advice isn’t materially influenced by our own interests;
  • exercise care, diligence, and skill in providing the advice;
  • meet standards of competence, knowledge and skill set by the Code of Professional Conduct for Financial Advice Services (these are designed to make sure that we have the expertise needed to provide you with advice); and
  • meet standards of ethical behaviour, conduct and client care set by the Code of Professional Conduct for Financial Advice Services (these are designed to make sure that we treat you as we should and give you suitable advice).

This is only a summary of the duties that we have. More information is available by contacting us, or by visiting the Financial Markets Authority website at www.fma.govt.nz.

Conflicts of Interest, Commissions and Incentives

Our financial advisers are remunerated by way of salary, bonus and commission.

Hallam Jones Insurance and Superannuation Ltd may receive commissions from the managed investment scheme managers on whose products we provide financial advice or in which our clients invest, insurance companies on whose policies we provide financial advice. These commissions are based on the amount of the sum invested or insurance premiums paid (as applicable).

To ensure that Hallam Jones Insurance and Superannuation Ltd financial advisers prioritise each client’s interests above their own, they follow an advice process that is designed to ensure their recommendations are made on the basis of the client’s circumstances and financial goals and are suitable for the client. Hallam Jones Insurance and Superannuation Ltd also:

  • has a quality assurance programme in place to monitor the advice our financial advisers provide;
  • actively monitors compliance with our conflicts policies and procedures; and
  • ensures training is provided to all Hallam Jones Insurance and Superannuation Ltd.’s financial advisers about how to manage conflicts of interest.

Complaints Handling and Dispute Resolution

Even with the best of intentions, complaints sometimes arise. Hallam Jones Insurance and Superannuation Ltd is committed to ensuring that all client complaints are handled and resolved in a professional, fair and timely manner in accordance with our Client Complaints Policy and associated procedures. If you are not satisfied with our financial advice services, you can make a complaint by contacting us at:

Hallam Jones Insurance and Superannuation Ltd
Mail: PO Box 1100, Rotorua 3040
Telephone: 07 348 3161
Email: info@hallamjones.co.nz
Website: www.hallamjones.co.nz

When we receive a complaint, we will consider it and let you know how we intend to resolve it. We may need to contact you to get further information about your complaint. We aim to resolve complaints within 10 working days of receiving them. If we can’t, we will contact you within that time to let you know we need more time to consider your complaint.

We will contact you by phone or email to let you know whether we can resolve your complaint and how we propose to do so.

If we can’t resolve your complaint, or you aren’t satisfied with the way we propose to do so, you can contact Financial Services Complaints Ltd.

Financial Services Complaints Ltd, is an independent dispute resolution service that may help investigate or resolve your complaint; if we haven’t been able to resolve your complaint to your satisfaction.

You can contact Financial Services Complaints Ltd at:

Address: P.O.Box 5967, Lambton Quay, Wellington, 6145
Telephone: 0800 347 257
Email: info@fscl.org.nz
Website: www.fscl.org.nz

Contact Details

Hallam Jones Insurance and Superannuation – FSP No.38182

0800 404 202

1384 Hinemoa Street, Rotorua 3010

You can download a copy of this Disclosure Notice by clicking here.