David McEwen and Associates Limited (FSP754991, trading as McEwen and Associates) is a Financial Advice Provider (FAP) licensed and regulated by the Financial Markets Authority to provide financial advice.

Blanding Holdings Limited (FSP754991, trading as Stockfox) is authorised under our FAP licence to provide financial advice.

McEwen and Associates only provides advice on share market investment trades, to wholesale clients, in relation to the following products, which are provided by David McEwen and Associates Limited:

• The McEwen Investment Report, a fortnightly share market investment newsletter.
• McEwen Investment Strategies, a service in which McEwen and Associates financial advisors direct a brokerage to make specific share trades on behalf of eligible wholesale investor clients in accordance with the client’s selected investment strategy/ies.

‍
McEwen Investment Strategies, a service in which McEwen and Associates financial advisors engage a brokerage to make share market trades in New Zealand, Australian and US markets on behalf of eligible wholesale investor clients in accordance with clients’ selected investment strategy category.

• McEwen and Associates will not charge you a fee for the financial advice that is provided to you. We receive a commission from Interactive Brokers brokerage for each trade, with the amount varying according to the transaction amount.
• We charge an annual subscription fee for access to the McEwen Investment Report fortnightly newsletter.

Our advisers receive a salary as an employee of David McEwen and Associates Limited. They do not receive any other incentives or commissions based on the financial advice they provide you.

To ensure our advisers prioritise our clients’ interests:

• All our advisers undergo annual training about how to manage conflicts of interest.
• We undertake an annual independent Compliance Assurance Review by Strategi.

If you are not satisfied with our service or financial advice, please tell us as soon as possible.

Call: 0800 438 646‍

Email: admin@mcewen.co.nz

‍

Write to: McEwen and Associates, PO Box 46-290, Herne Bay, Auckland 1147

‍

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 10 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 cannot agree on how to fix the issue, or if you decide not to use our internal complaints process, you can contact our external disputes resolution scheme, Financial Services Complaints Limited.  Financial Services Complaints Limited provides a free and independent dispute resolution service that may help to resolve your complaint if we haven’t been able to do so to your satisfaction.

‍

To contact Financial Services Complaints Limited:

Call: 0800 347 257‍

Email: complaints@fscl.org.nz

‍

Write to: Financial Services Complaints Limited, PO Box 5967, Wellington 6140

David McEwen and Associates Limited and our advisers 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;
• exercise care, diligence, and skill;
• meet standards of competence, knowledge and skill set by the Code of Professional Conduct for Financial Advice Services
• meet standards of ethical behaviour, conduct and client care set by the Code of Professional Conduct for Financial Advice Services.

David McEwen and Associates Limited (FSP754991, trading as David McEwen and Associates Limited) is the Financial Advice Provider.

Call: 0800 438 646

Email: admin@mcewen.co.nz

Write to: McEwen and Associates, PO Box 46-290, Herne Bay, Auckland 1147