Last updated: 19 August 2025

About Us

EriksensGlobal Limited is a licensed Financial Advice Provider (FAP) providing regulated financial advice to retail and wholesale clients under the Financial Markets Conduct Act 2013.

• Financial Advice Provider: EriksensGlobal Limited

• FSP registration: FSP40147

• Licence status: Full FAP licence for wholesale and retail financial advice services

• Address: Head office 2 Burns Avenue, Takapuna, 0620, Auckland, New Zealand

• Contact: Head office 09 486 3144 - disclosure@eriksensglobal.com

• Website: www.eriksensglobal.com, www.eriksensglobal.co.nz, www.eriksensforme.com, www.eriksensforme.co.nz

This page explains our retail advice service and key information to help you make informed decisions.

Your Advisor

• Adviser: Amy Eriksen

• Role: Director, Consultant and Advisor

• Acting on behalf of: EriksensGlobal Limited (licensed FAP)

• Contact: 027 539 8375 (leave a voicemail) - amy@eriksensglobal.com

Amy meets the competence, knowledge and skill standards of the Code of Professional Conduct for Financial Advice Services and maintains annual professional development. Amy studied Finance, Accounting and Management at Massey Business School and holds a L5 Certificate in New Zealand Financial Services [Version 2] and Residential Lending [Version 1] and is an accredited insurance advisor with AIA on behalf of EriksensGlobal.

What We Advise On

We provide advice tailored to agreed scope, which may include:

• Investment strategy and portfolio construction, including risk profiling and asset allocation.

• Managed funds, KiwiSaver schemes, diversified funds, cash/term deposits, ETFs, bonds and fixed interest, and listed securities via approved platforms/managers.

• Development and review of Statements of Investment Policy and Objectives (SIPO) for individuals, trusts, and entities.

• Actuarial and consulting inputs relevant to investment advice (e.g., liability-aware strategies).

• Personal risk insurance advice.

What we generally do not provide (unless specifically agreed in writing):

• Tax or legal advice (we may comment at a high level and recommend independent advice).

• Discretionary investment management services (DIMS), all recommendations must be approved by client.

Product universe and limitations

We operate an approved product list and research framework. Our advice typically focuses on products, platforms and managers we have researched and approved. If a requested product sits outside our approved list, we will carry out risk research and rate the product within our framework, and explain implications and any additional steps or limitations before proceeding.

Our Duties to You

We, and anyone who gives advice on our behalf, must:

• Give priority to retail clients’ interests.

• Exercise care, diligence and skill.

• Ensure advice is suitable for the agreed scope and your circumstances.

• Comply with the Code of Professional Conduct and all applicable laws and licence conditions.

If you have conduct concerns, you may contact the Financial Markets Authority (FMA).

Fees and Costs

We will confirm fees in writing before you incur them. Depending on the engagement, fees may include:

• Advice fees: Fixed fees of $2,500 per year for our comprehensive financial planning service, or hourly rates for scoping, analysis, and written advice. Current rates: $350 to $450 per hour depending on experience of advisor. Fixed-fee quotes are provided where possible.

• Implementation fees: Assistance with account openings, transfers, or execution via platforms/managers may be charged on a fixed or time basis if they are complex, but are usually included in our fixed fees. We will advise you in advance before incurring these costs.

• Ongoing service fees: Our wealth management service is available to clients with over $350k of investable assets. We charge a fee of 50bps (0.50% per annum) for ongoing wealth management including rebalancing, ongoing investment monitoring, recommendations and advice. This replaces any ongoing financial planning fee should the client be receiving financial planning services as well.

• Third‑party/platform costs: Product, platform, brokerage, and custody fees are charged by external providers. We use Adminis for our wealth management platform which charges 25bps (0.25%) for providing secure custody and on-demand reporting as well as transactional services. Product and brokerage costs vary from investment to investment and will be disclosed by us and/or the provider prior to investment.

Commissions, Incentives, and Conflicts

• Commissions: We do not receive commissions for the investment products we recommend.

• Incentives: Staff are remunerated by salary and may receive discretionary profit share bonuses. No incentives are structured to recommend a particular product/provider.

• Conflicts management: We maintain a Conflicts of Interest Policy, related‑parties register, and staff trading rules. Any conflict relevant to your engagement will be disclosed along with mitigation steps. We may decline to act where appropriate.

How We Are Paid

EriksensGlobal charges client‑agreed fees for advice and service as outlined in Fees and Costs. Staff are salaried and may receive discretionary bonuses that are not linked to recommending specific products or providers.

Complaints and Dispute Resolution

We are committed to resolving complaints promptly and fairly.

• Internal process:
  Please contact our Complaints Officer Gail Rotherham, g.rotherham@eriksensglobal.com, 09 486 3144, 2 Burns Avenue, Takapuna, 0620, Auckland, New Zealand.
  We will acknowledge your complaint within 2 working days, investigate, and aim to provide a written response within 20 working days. We will keep you informed of progress and reasons for any delay.

• External dispute resolution (free to you):
  If we cannot resolve your complaint, you can refer it to our approved dispute resolution scheme:
  Scheme: FDRS
  Contact: Make a complaint » Financial Dispute Resolution Service
  Our membership details are also included in engagement documentation.

Privacy and Confidentiality

We collect and use personal information to provide financial advice and meet legal obligations (including AML/CFT). We store information securely and only share it with your consent or where permitted/required by law.
You may request access to, and correction of, your personal information by contacting: privacy@eriksensglobal.com
See our full Privacy Policy for details.

Client Money and Property

We do not hold client money or client property. Transactions are executed via custodians, product providers, or platforms in your name, or via approved custodial arrangements. Relevant custodian/platform terms will be provided before implementation.

How We Work Together

• Engagement: We agree the nature and scope of advice in writing, including fees, assumptions, and any limitations.

• Information reliance: Our advice relies on information provided being accurate and complete. Please advise of any changes to your circumstances.

• Advice output: We provide written advice suited to your needs and objectives within the agreed scope, and recommend periodic reviews to keep strategies aligned.

Professional Indemnity Insurance

EriksensGlobal maintains professional indemnity insurance appropriate for the size and nature of our business. Cover includes errors and omissions, subject to insurer terms and exclusions.

Regulatory Information

• Licensed Financial Advice Provider: EriksensGlobal Limited

• FSP: FSP40147

• Registrar: Financial Service Providers Register (FSPR)

• Regulator: Financial Markets Authority (FMA)

• Code: Code of Professional Conduct for Financial Advice Services

Accessing This Disclosure

• Public disclosure: Available on this page and on request at any time.

• When we define the scope: We provide tailored disclosures about applicable products/providers, limitations, fees, and any interests relevant to your engagement.

• When advice is given: Your written advice confirms the recommendations, fees, and any interests/commissions.

• When a complaint is received: We provide information about our complaints process and dispute resolution scheme.

Contact

EriksensGlobal Limited (FSP40147)
Address: 2 Burns Avenue, Takapuna, 0620, Auckland, New Zealand
Phone: 09 486 3144
Email: auckland@eriksensglobal.com
Website: www.eriksensglobal.com
Complaints: complaints@eriksensglobal.com
Privacy: privacy@eriksensglobal.com

Note: You are welcome to print this disclosure for your records. We will update and republish it if there are material changes to our licence status, scope, fees, interests, or dispute resolution details.