A Nair v Devi [2014] NZIACDT 32 (19 March 2014 ) [pdf, 147 KB]
...copy of the adviser’s complaints procedure (Clauses 1.4 and 9). [17] This engagement required explaining to the complainant what the options were, the risks, and the processes involved before taking instructions. Only then, could the adviser have lawful informed instructions and meet the obligation to act with professionalism (Clause 1.1). Furthermore, the adviser was required to confirm in writing the details of material discussions with clients (Clause 3(f)). [18] Preparing material...