> _Markdown transcription of Hamilton Hindin Greene Limited's Public Disclosure Statement, version 2026-05-23. Source: https://www.hhg.co.nz/wp-content/uploads/2024/03/HHG-Public-Disclosure.pdf._ --- # Hamilton Hindin Greene Ltd Disclosure **Financial Service Provider Number:** FSP23642 **Licensing Status:** Class 2 Financial Advice Provider, meeting the requirements of section 396 of the Act. **Licence conditions:** The Financial Advice Provider Licence is subject to conditions contained in the Act, imposed by regulations, and imposed by the FMA under section 403 of the Act. **Duration of licence:** Effective 21st September 2021 **Business Address:** Level 1 83 Victoria Street Christchurch 8013 **Telephone number:** 03 379 8420 **Fax number:** 03 379 8472 **Email address:** enquiries@hhg.co.nz --- ## It is important that you read this document This information will help you to choose a financial adviser that best suits your needs. It will also provide some useful information about the financial adviser that you choose and should be read in conjunction with HHG's Terms & Conditions. In addition to the information disclosed to you in this statement a financial adviser will also disclose other information to you. This will be provided in separate documents (or statements) specific to your circumstances including but not limited to information about the types of services that they provide, the specific fees that apply to you, and any actual or potential conflicts of interest. This additional information will be provided when the nature and scope of the advice is known and when the advice is provided to you. --- ## What sort of Client Service does Hamilton Hindin Greene provide? Hamilton Hindin Greene provides clients with share broking, investment advice and portfolio management services. HHG's financial advisers can provide advice, opinions, and recommendations in the following areas of investment advice and service. - Transactional Share Broking (receiving/placing orders for clients and providing advice on individual listed securities). - Investment planning - KiwiSaver advice - Custodial service (holding assets in safe keeping, essential for some overseas assets) - Portfolio management service (called Overview) The advice provided will be limited by the exact nature and scope of services that you are seeking. HHG however, does not provide full financial, Estate or cash flow planning services. Should the adviser not have the necessary expertise or capacity to provide suitable advice they will recommend that you seek guidance from a specialist advice provider. --- ## What sort of products does Hamilton Hindin Greene provide advice on? In providing investment recommendations Hamilton Hindin Greene and its advisers are not restricted to using any product type or provider. A full list of the types of securities the adviser may recommend is given below. - Direct Equities and Fixed Interest Securities - Listed and Unlisted public companies - Savings and Investment Products - Finance company debentures and capital notes - Superannuation - Tax paid investments bonds - Bank accounts and term deposits - Cash Management Funds - Unit Trusts - Exchange Traded Funds - Listed and Unlisted Managed Funds - KiwiSaver As a share broker our specialty is the provision of advice to clients that are familiar with investing in direct equities and fixed interest securities. The advice provided will not be limited to equities and fixed interest securities and when appropriate any of the securities listed may form part of a recommendation. An adviser at HHG will not recommend investing if it is not cost effective or appropriate to do so. The adviser may recommend that you seek guidance from an alternative advice provider should they feel it is in your best interests to do so. --- ## Fees and Charges This section describes the fees and charges that may apply in relation to the financial adviser services that HHG advisers may provide, as well as other interests, relationships and associations that may be relevant. Advisers are employees of HHG, they will not charge you any fees personally. However, you may be charged a fee by HHG in relation to the services provided to you by the adviser. These fees and charges will vary according to the nature of the services provided to you. Our fees and charges will include: - Brokerage and other fees, charges, duties and taxes at the rate or rates notified by us to you from time to time either generally or in respect of a particular transaction. - Any agency fees and other charges incurred in effecting an overseas transaction; and - Any charges or penalties imposed by, any agent, another broker or by the NZX or other stock exchange including, without limitation, charges or penalties imposed as a result of late or non-delivery of scrip, holder identification particulars or any other information or requirements. - Administration fee on assets that may be held in custody. - Monitoring fee on assets that may be held in custody. - Adviser fees associated KiwiSaver investments. Information on the specific brokerage rates, custody fees, KiwiSaver, and any charge for the Overview portfolio service will be provided as and when the nature and scope of the service to be provided to you is known. --- ## Adviser Remuneration Adviser remuneration comprises the following elements: - a fixed salary; - a potential bonus; and - non-financial benefits. Advisers may have a direct or indirect pecuniary or other interest in giving investment advice to you, and receive remuneration indirectly, from a party other than you, in connection with giving investment advice to you or a transaction resulting from giving investment advice to you. --- ## Adviser Bonus A bonus is paid and is calculated by reference to a percentage of the total gross revenue generated by the adviser from brokerage and fees (currently, this percentage may be up to 40%, although this may be reviewed and amended by HHG from time to time) in excess of the adviser's monthly salary. They may also receive up to 40% of any monitoring fees from clients in custody or in the Overview portfolio service. This is also attributed on revenue generated above an agreed threshold (this too may be reviewed and amended by HHG from time to time). Advisers who are shareholders in HHG will also receive any distributions paid by HHG to its shareholders. --- ## Conflicts of Interest & Incentives HHG has its own internal policy to manage potential conflicts of interest. There are no incentives that favour the buying or selling of one product over another. HHG has an in-house Investment Committee, and any stock included in the Investment Committee Universe has met basic parameters. Where a stock sits outside these parameters' advisers follow a peer review process prior to inclusion in portfolios. The advice and services that advisers provide is monitored to ensure that they are appropriate and suitable for clients and that products are not churned to generate brokerage. If advisers fail to meet the required standards of behaviour and conduct, risk management, compliance, and advice, they may not be rewarded through incentive programs or salary increases. In addition, all advisers must maintain up to date records of their investment portfolios. Where an adviser has any interest in a particular security/investment they must disclose this interest when giving advice on that security/investment to you. All HHG staff transactions must be approved by the CEO, a Director, or the Compliance Manager of HHG. A register of staff trading, and disclosure of adviser interests is kept by HHG's compliance manager and reconciliations of adviser transactions are undertaken both daily and at month end. --- ## What are our obligations and duties As a Financial Advice Provider and Financial Adviser, both HHG and the adviser must meet legal duties to comply with standards of competence, knowledge, and skill in the advisers Code of Conduct; give priority to client's interests; exercise care, diligence and skill; and meet standards of ethical behaviour, conduct and client care in the Code of Conduct: https://financialadvicecode.govt.nz/#Financial%20advice%20code%20website --- ## What should you do if something goes wrong? If you have a problem, concern, or complaint about any part of my service, please report it to our internal complaints scheme so that our internal complaints scheme can try to fix the problem. Please note we will not engage with any complaints made via social media platforms, please contact the internal complaints scheme by contacting our Compliance Manager (orally or in writing): **Compliance Manager** Hamilton Hindin Greene Ltd Level 1, 83 Victoria Street PO Box 10 Christchurch 8140 New Zealand **Phone:** +64 (3) 379 8420 **Email:** enquiries@hhg.co.nz If we cannot agree on how to fix the issue, or if you decide not to use the internal complaints scheme, you can contact our approved dispute resolution scheme provider Financial Services Complaints Limited. This service will cost you nothing and will help us resolve any disagreements. You can contact Financial Services Complaints Limited (A Financial Ombudsman Service) at: **Address:** PO Box 5967 Lambton Quay Wellington 6145 **Telephone number(s):** 0800 347 257, (04) 472 3725 **Email addresses:** complaints@fscl.org.nz, info@fscl.org.nz --- ## If you need to know more, where can you get more information? If you have a question about anything in this disclosure statement or you would like to know anything more about this firm, please contact Hamilton Hindin Greene as detailed at the beginning of this document, or email enquiries@hhg.co.nz --- **This disclosure statement was prepared on 08.03.2024.**