Basis for provision of product and services

The FMA licences permit MFM and Maxim Financial Advisors to provide Financial Advice and Investment Planning Services about financial products provided by a broad range of organisations. Our services are based on the information you provide us in the Client Agreement and Client Risk Appetite Assessment (as updated from time to time). MFM makes available research on individual investments and companies in both New Zealand and international markets. Before acting on any advice or recommendations, you should always consider the appropriateness of the advice or recommendations in regard to your specific situation. Unless the service selected provides otherwise you are responsible for the ongoing monitoring and management of your investments.

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Managing conflicts of interest

At the time of writing, Maxim Financial Markets Limited and your Financial Advisor are not aware of any material external relationships or interests that would provide a potential conflict of interest and that need be disclosed to clients. Should this circumstance change in the future, a full disclosure shall be made to relevant clients, at the time of providing advice, regarding any potential conflicts of interests and how they are being managed.

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Regulations and compliance

Maxim Financial Markets Limited (MFM) and its Financial Advisors (FA) must comply with the Code of Professional Conduct for Financial Advice Services (Code), which outlines ethical behaviour, conduct, client care, competence, knowledge, and skill requirements. MFM and your Financial Advisor must exercise due care, diligence and skill and prioritise the clients’ interests.

As a representative of Maxim Financial Markets, your Financial Advisor is required to comply with the company’s compliance procedures. These are contained in Maxim’s Compliance Monitoring and Anti- Money Laundering and Countering Financing of Terrorism (AML/CFT) Policy. Maxim’s Compliance Monitoring includes policies, procedures and controls relating to personal account trading, training, outside interests and gift and benefit policy. The AML/CFT details account opening and record keeping requirements.

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Dispute Resolution Procedure

If upon becoming a client you are not satisfied with the service you have received from your Financial Advisor please do not hesitate to get in contact with this person in the first instance. If, however, you are of the view that the situation has not been resolved we have an internal complaints process and will investigate your concerns as a matter of urgency in a fair and cordial manner.

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