Disclosure for Financial Advice Service
Licensing information
AMA Capital Management Limited (FSP712913) is a Financial Advice Provider (FAP) licensed and regulated by the Financial Markets Authority to provide financial advice. Angela Anderson (FSP22601) is the sole financial adviser engaged by AMA Capital Management Limited.
Nature and scope of the advice
AMA Capital Management Limited provides financial advice on a wide range of investment products, including listed New Zealand and global equities, New Zealand and global fixed interest, managed funds and private equity. There are no material limitations on the providers whose products can be advised on.
Discretionary Investment Management Services are only available to wholesale clients.
Fees or expenses
AMA Capital Management Limited charges a fee as a percent of the value of the portfolio. This fee is negotiated with the client and agreed in a contract prior to any fees being charged. There may also be additional fees paid to third parties (not AMA Capital Management Limited) such as brokerage, agency fees, fund entry and exit fees, fund manager fees, government charges and foreign exchange fees. If you choose to have your investments held by a Custodian, they will charge you a fee.
Third parties may pay rebates on financial products, with all rebates paid to the client unless specifically disclosed prior to the purchase.
Conflicts of interest and incentives
AMA Capital Management Limited has no contractual obligation to recommend any financial products of any particular product provider.
Angela Anderson is the beneficial owner of the business via one share in her name and 99 shares held via the trust of which she is a settlor, trustee and beneficiary.
Our adviser receives a salary as an employee of AMA Capital Management Limited and does not receive any incentive payment.
To ensure our adviser prioritises our clients’ interests:
Complaints handling and dispute resolution
If you are not satisfied with our financial advice or service, please tell us as soon as possible by emailing [email protected] or calling 0274 372 605.
When we receive a complaint:
If we are not able to resolve your complaint and if you are a ‘retail client’, then you may refer your complaint to our external disputes resolution service Financial Services Complaints Ltd (FSCL) FSCL provides a free and independent dispute resolution service that may help resolve your complaint if we haven’t been able to do so to your satisfaction. Contact FSCL by:
Duties information
AMA Capital Management Limited and our adviser have duties under the Financial Markets Conduct Act 2013 relating to the way that we give advice. We are required to:
Contact details
Angela Anderson (FSP22601) is a financial adviser engaged by AMA Capital Management Limited (FSP712913), the Financial Advice Provider.
Textile Lofts, Level 4, 1 Kenwyn Street, Parnell, Auckland 1052
Email: [email protected]
Email: [email protected]
Email: [email protected]
Angela Anderson 0274 372 605
Campbell Millar 021 437 168
A written copy of this information is available upon request.
AMA Capital Management Limited (FSP712913) is a Financial Advice Provider (FAP) licensed and regulated by the Financial Markets Authority to provide financial advice. Angela Anderson (FSP22601) is the sole financial adviser engaged by AMA Capital Management Limited.
Nature and scope of the advice
AMA Capital Management Limited provides financial advice on a wide range of investment products, including listed New Zealand and global equities, New Zealand and global fixed interest, managed funds and private equity. There are no material limitations on the providers whose products can be advised on.
Discretionary Investment Management Services are only available to wholesale clients.
Fees or expenses
AMA Capital Management Limited charges a fee as a percent of the value of the portfolio. This fee is negotiated with the client and agreed in a contract prior to any fees being charged. There may also be additional fees paid to third parties (not AMA Capital Management Limited) such as brokerage, agency fees, fund entry and exit fees, fund manager fees, government charges and foreign exchange fees. If you choose to have your investments held by a Custodian, they will charge you a fee.
Third parties may pay rebates on financial products, with all rebates paid to the client unless specifically disclosed prior to the purchase.
Conflicts of interest and incentives
AMA Capital Management Limited has no contractual obligation to recommend any financial products of any particular product provider.
Angela Anderson is the beneficial owner of the business via one share in her name and 99 shares held via the trust of which she is a settlor, trustee and beneficiary.
Our adviser receives a salary as an employee of AMA Capital Management Limited and does not receive any incentive payment.
To ensure our adviser prioritises our clients’ interests:
- We follow an advice process that ensures our recommendations are made appropriately, based on clients’ goals and circumstances.
- We maintain registers of conflicts of interests and the gifts and incentives we may receive. These registers are monitored regularly, and additional training is provided as required.
- Our financial adviser and staff are required to undergo annual training about managing conflicts of interest.
- We engage a reputable external compliance provider to provide ongoing checks of our advice.
Complaints handling and dispute resolution
If you are not satisfied with our financial advice or service, please tell us as soon as possible by emailing [email protected] or calling 0274 372 605.
When we receive a complaint:
- We will consider your complaint and let you know how we intend to resolve it. Where possible, we try to resolve your complaint immediately.
- If we are unable to resolve your complaint immediately, we will acknowledge your complaint within 2 business days. We may contact you to get further information about your complaint.
- We aim to resolve complaints within 5 working days of receiving them. If we need more time to investigate your complaint, we will let you know when you can expect to receive a response to your complaint
- We will contact you by phone, email or letter to let you know whether we can resolve your complaint and how we propose to do so.
If we are not able to resolve your complaint and if you are a ‘retail client’, then you may refer your complaint to our external disputes resolution service Financial Services Complaints Ltd (FSCL) FSCL provides a free and independent dispute resolution service that may help resolve your complaint if we haven’t been able to do so to your satisfaction. Contact FSCL by:
- Going to their website at https://fscl.org.nz/about-us/complaints/how-to-make-a-complaint/.
- Emailing [email protected].
- Calling 0800 347 257.
- Writing to FSCL at PO Box 5967, Wellington 6140.
Duties information
AMA Capital Management Limited and our adviser 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 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 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 advice to retail clients).
- Meet standards of ethical behaviour, conduct and client care set by the Code of Professional Conduct for Financial Advice Services (when providing advice to retail clients).
Contact details
Angela Anderson (FSP22601) is a financial adviser engaged by AMA Capital Management Limited (FSP712913), the Financial Advice Provider.
Textile Lofts, Level 4, 1 Kenwyn Street, Parnell, Auckland 1052
Email: [email protected]
Email: [email protected]
Email: [email protected]
Angela Anderson 0274 372 605
Campbell Millar 021 437 168
A written copy of this information is available upon request.