Maxim Financial Markets is registered as a Financial Services Provider (FSPR) as designated under the Financial Service Providers Act 2008. As such Maxim complies with the rules, bylaws and guidance notes provided by the Financial Markets Authority, the regulator for the financial services sector.

Disclosure statements for all of Maxim’s advisors are available upon request and free of charge.

If upon becoming a client you are not satisfied with the service you have received from your 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.

To complain in writing please send all correspondence to:


The Manager

Maxim Financial Markets Ltd

PO BOX 11201


Wellington 6142


Maxim is a member of an independent dispute resolution scheme operated by the Insurance and Financial Services Ombudsman (IFSO) and approved by the Ministry of Consumer Affairs. Under IFSO criteria we have 40 days to respond to your complaint. If you are not satisfied by our response please refer the matter to IFSO by emailing or calling IFSO on 0800 888 202. Full details of how to access the IFSO scheme can be obtained on their website There is no cost for using the IFSO service.