Financial Services

You must provide the following:

• • Detailed work history showing roles, work undertaken and dates of employment for each role (detailed CV acceptable)
  • Certificate of training for knowledge of current legislation
  • Evidence of continuing Professional development (CPD) from the last 24 months
  • At least 2 professional references (from employer, client, professional colleague or other)
  • Disclosure Statement, or equivalent
  • Financial Service Provider registration number (if you are currently practicing in New Zealand)
  • Complete client files which must include:
  1. Evidence client has received Disclosure Statement, or equivalent
  2. Evidence the client has agreed to the Scope of Engagement

Download the Professional Reference Form HERE

As well as the compulsory items listed above a full client file should include documents that demonstrate your process of engagement from initial discussions through to implementation of solutions.  Below is a list of what your assessor might expect to see.  Include documents as applicable:

• Terms of engagement
• Service agreement/Authority to Proceed
• Client Authorities to obtain information from Third Parties
• Client Facts/Current Situation data
• Risk Profile/Risk Analysis/Needs Analysis data
• Analysis Findings/Calculations of Requirements
• Quotes/ Comparisons/Research information
• Statement of Advice/Risk Plan/Financial Plan
• Amendments to original plan documentation (if appropriate)
• Implementation document (if details not part of Statement of Advice etc)
• Application forms to third parties (if appropriate)
• Other client communication documents that relate to advice or implementation of advice e.g. variations to original terms/offer of terms, replacement of existing policies
• Letters or communications to/from third parties
• File notes

To support your application you can provide further evidence to show you meet the required competencies.  The following are examples of the type of evidence you could provide.  This is not an exhaustive list.

• Other qualifications New Zealand or overseas – certificate and a transcript of the course/programme
• Evidence of Professional Development and other training attended – Certificates or course outlines including dates
• Professional Indemnity Insurance Certificate
• Membership or association with industry bodies or associations
• Industry contributions e.g. published articles, presenting at conferences, mentoring etc.
• Client references
• Disclaimer statement
• Marketing brochures
• Electronic needs analysis tool example
• Workplace evidence/process checklist
• Policy replacement advice process

Note:

• All evidence must be in English or be accompanied by a translation giving an accurate summary in English.
• Client files should have client name/s and identifying data removed, unless the client has agreed to its use for this purpose, as outlined in Standard 5 of the Code of Professional Conduct for Financial Advisors.
• Any letters must be on letterhead, dated and signed by the author.
• Qualification Certificates and transcripts must be certified copies.
  A certified copy is a photocopy of your original document that has been verified by a person authorised to make such declarations, for example, a Justice of the Peace, barrister or solicitor, notary public, court registrar or deputy registrar, or a Member of Parliament.