Maurice Woodham Ltd (FSP112724 trading as SwainWoodham Group), holds a license issued by the Financial Markets Authority (FMA) to provide financial advice.
Nature and scope of advice
SwainWoodham Group provides independent financial planning and investment advice to our clients.
Our Duties
SwainWoodham Group, and anyone who gives financial advice on our 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 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 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.
The Code of Conduct standards can be read here: Financial Advice Code.
Whether you are an existing client, or looking for insurance or investment advice, you can reach our team any time.
