| University | Open Polytechnic (OP) |
| Subject | FSC522: Regulatory Framework |
Tohutohu Mokete Limited (TML) is a financial advisory business and a financial advice provider (FAP). It engages financial advisers to give financial advice on its behalf. It has a very informative website that gives information about its people, the services it provides, and its regulatory obligations.
The company has a strong client-centric focus. It has no ties to product providers, and its advisers work for client fees rather than commissions. This fosters the principle of working respectfully in the client’s interests and reducing conflicts of interest.
TML has a comprehensive set of policies, procedures, and guidelines, which are designed to ensure the business complies with all relevant legislation and code of practice principles. All staff must adhere to these policies, procedures, and guidelines.
Kauri Parata is a financial adviser at TML. He is an investment specialist and can give advice on a wide range of direct and managed investments. He has completed his New Zealand Certificate in Financial Services (Level 5) with the investment strand.
He is unrestricted in the range of providers he can use and does not receive commissions from any product providers. He is a salaried employee and, in keeping with TML’s fee policy, charges clients:
• A flat fee of $400 for one-off investment advice on one product, charged at the end of the consultation
• An hourly rate for more complex advice on a range of products.
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