Bradley Nuttall Certifications

The strength of Bradley Nuttall Ltd’s investment processes are such that we have been independently certified by the Centre for Fiduciary Excellence (CEFEX) as achieving global best practice standards and granted the Discretionary Investment Management Service (DIMS) licence by the New Zealand Financial Markets Authority (FMA).

CEFEX: Centre for Fiduciary Excellence

CEFEX

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Bradley Nuttall Ltd has achieved accreditation from the prestigious CEFEX an independent global assessment and certification organisation. This exclusive accreditation is held by only eight firms throughout New Zealand. CEFEX works closely with investment fiduciaries and industry experts to provide comprehensive assessment programs to improve risk management for institutional and retail investors. CEFEX certification helps determine the trustworthiness of investment fiduciaries.

As a certifying organisation, CEFEX provides an independent recognition of a firm’s conformity to a defined Standard of Practice. It implies that a firm can demonstrate adherence to the industry’s best practices, and is positioned to earn the public’s trust. This registration services investors who require assurance that their investments are being managed according to commonly accepted best practice.

As an assessment organisation, CEFEX uses the defined Standard of Practice to provide actionable feedback on an organisation’s fiduciary practices. Assessments can be combined with expert consulting using a range of methodologies.

In a time of financial industry anxiety, trust is more important than ever. Investors trust is critical to firms which provide fiduciary functions and support services. Stewards of retirement plans, endowments, foundations and personal trusts are continually demonstrate proof of their integrity. Equally, investment firms and advisers also need to demonstrate that their trust is warranted.

CEFEX certification establishes transparency and accountability. Please click here for a detailed description of the Assessment Process resulting in certification.

DIMS: Licensed Discretionary Investment Management Services

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Bradley Nuttall Ltd has been granted an Discretionary Investment Management Service (DIMS) licence by the Financial Markets Authority (FMA).

A DIMS is where buy-sell decisions about a customer’s investment portfolio may be made on behalf of a customer, without the need for their authorisation for each transaction. Licensing of DIMS was introduced as part of the Financial Markets Conduct Act 2013, which is replacing most of New Zealand’s existing financial markets conduct law. The new DIMS licensing arrangements place greater obligations and minimum standards on providers, which regulators hope will deliver better protection to investors.

The DIMS licence enables Bradley Nuttall Ltd to continue to provide the financial market services it has been offering clients for the last 25-years. Please click here for a description of the DIMS licensee obligations.

Contact us to find out more about our Wealth Management and Investment Management services. A disclosure statement is available on request free of charge.

 

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