Reason to make a Complaint

Reasons to make a complaint would relate to misconduct by a member. The misconduct could fall into one or more of the following categories:

  • Conduct violating the Constitution, Disciplinary By-laws, Rules, Code of Ethics or Practice Standards of the Institute of Financial Advisers.
  • Conduct violating the criminal law of New Zealand.
  • Any other acts or omissions amounting to unprofessional conduct.

Copies of the Institute's Code of Ethics, Practice Standards, Constitution and Disciplinary By-laws are available on the Institute Documents page of this website or from the Institute's National Office by calling (0800) 404 422 or emailing

Please note if the alleged misconduct took place prior to 1 August 2007, the earlier version of the Code of Ethics and Professional Conduct would apply.

Complaints Procedure | Complaints Form