SurePlan Financial is licenced by the Financial Markets Authority to provide financial advice services.

You can find us on the Financial Service Providers Register at www.fspr.govt.nz by searching FSP162244

Services we provide:

• Cash management
• Debt management
• Retirement planning
• Investment planning
• Comprehensive Financial Planning
• Residential Mortgages
• Residential Investment Property Analysis

We only provide limited advice on Estate Planning (Wills and Enduring Powers of Attorney) and Asset Protection (Family Trusts, Company structures, partnerships etc). We will, however, refer you to professionals in this area.
In addition to the above advice services, we provide a range of implementation and ongoing support activities for our clients.

How we earn income

In most cases, our clients pay fees for the services we provide. Costs are always disclosed before they are incurred. If we feel that we can not deliver value to you for the fees we would need to charge to appropriately service you then we will tell you prior to engaging with you in an adviser relationship.
When a client decides to engage with us in a fee-paying capacity, prior work already completed may become part of the fees agreed to be paid.
In most cases, our suppliers will pay us a commission for providing the advice that precedes our clients utilising their product or service. These commissions are disclosed when the nature and scope of our advice is known (this is before you decide to implement our advice).

Conflicts of interest

Where conflicts of interest arising from either commission paid or other material benefit being derived by your adviser, the organisation or any associated party, this will be disclosed along with the steps that are/will be taken to manage that conflict. The first step in managing all conflicts is our focus in all advice on the Code of professional conduct for financial advice services and specifically on standard one, two, and three. Treat clients fairly, Act with integrity and Give financial advice that is suitable.

Duties Information

Sureplan, and anyone who gives financial advice on their behalf, have duties under the Financial Markets Conduct Act 2013 relating to the way that we give advice:

We are required to:

• Give priority to your interest 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 you with 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)
• 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 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

Financial Dispute Resolution Service

If you have a problem, concern, or complaint about any part of our service, please contact the Managing Director at SurePlan Financial, John Schell. He can be contacted by telephone at (09) 551 9071 or by email john@getsure.co.nz He will advise on the appropriate steps and actions to be undertaken.
If this does not provide a satisfactory resolution, you can contact Financial Dispute Resolution Service Limited. This service will cost you nothing and will help resolve any disagreements.

You can contact Financial Dispute Resolution Service Limited
Address: Postal address Freepost 231075 PO Box 2272 Wellington 6140
Telephone number: 0508 337 337
Email address: enquiries@fdrs.org.nz
Website: www.fdrs.org.nz

Privacy and data security

We are compliant with the Privacy Act 2020. For more detail, please read our Privacy Policy

We know that how we collect, use, disclose and protect your information is important to you, and we value your trust. That’s why protecting your information and being clear about what we do with it is a vital part of our relationship with you.
The purpose of this Privacy Policy is to inform clients, potential clients and any users of our digital platforms (i.e. our website and social media pages) about how we comply with requirements of the New Zealand Privacy Act 2020 (“the Privacy Act”) in managing personal information.