Public Disclosure Statement

Shaw Financial Insurance and Investments Ltd as required by The Financial Markets Conduct (Regulated Financial Advice Disclosure) Amendments Regulation 2020



Shaw Financial Insurance and Investments Limited (fsp 713891)
311 Hawthorne Drive, Frankton
03 442 4050

This disclosure statement was prepared on 10 March 2021.

It Is Important That You Read This Document

Shaw Financial Insurance and Investments Ltd hold a Transitional Financial Advice Providers license issued by the Financial Markets Authority.

Nature and Scope of Service

We give regulated advice in respect of:

  • Life Cover
  • Health Insurance
  • Income Protection
  • Trauma Insurance
  • Total Permanent Disablement
  • Family Protection
  • Mortgage repayment
  • Superannuation
  • Investments
  • KiwiSaver

When giving advice there are no material limitations or restrictions on the nature and scope of the advice that a client will be given.

We only provide recommendations on products from:

  • Investments -Select Wealth
  • Insurances:  AIA, Asteron, AMP, Fidelity Life, Chubb Life, Partners Life, Southern Cross and NIB Health.
  • KiwiSaver: ANZ One Answer and Booster.

How Do We Get Paid for The Services That We Provide To You?

We are required to tell you the specific fees, commissions, extra payments, and other benefits that we have received or will, or may, receive in relation to the services that we provide to you. We must tell you about these things before we give you advice or, if that is not practicable, as soon as practicable after we give you that advice.

The following table sets out the commissions and fees we receive from various suppliers.


Ongoing Fees based on the value of the investment account or KiwiSaver balance – 0.2% to 0.8%


  • Initial – 0 to 220% of the premium paid
  • Ongoing –  0 to 44% of the premium paid
  • Bonus if applicable –  0 to 80% of the Initial Commissions referred to above.

Conflicts of Interest and Commissions or other Incentives

At the time of preparing this disclosure document we do not have any Conflicts of Interest that would influence the advice we provide. If any conflict occurs in the future, we will advise you and inform you how we would manager that conflict to not influence the advice we provide. We receive commission when Insurance is implements and may in some instances receive ongoing commissions. Commissions are usually a % of the premium paid to the Insurance Company.

Commissions for Insurances do vary from provider to provider. They are based on a % of the annual premium you pay to the Insurance Provider. We manage this potential conflict by using independent research to select the best solution for your circumstances.

What Are Our Obligations?

As a Licensed Financial Advice Provider, we must comply with the Code of Professional Conduct for Licensed Financial Advice Providers. We also have other obligations under the Financial Services Legislation Amendment Act 2020 (including regulations made under that Act), the Financial Markets Conduct Act.

Complaints Process

If you have a problem, concern, or complaint about any part of Our service, please inform us so that we can rectify the problem. You can phone us at any time, and we take note of you concern and see if we can solve the issue via the phone. You may also contact the internal complaints scheme by contacting  Shaw Financial Insurance and Investments Ltd at or write to us Shaw Financial Insurance and Investments Ltd Po Box 661, Queenstown 9300.  

We will respond to your communications within 5 working days either phone or in writing.

If we cannot agree on how to fix the issue, or if you decide not to use the internal complaints scheme, you can contact the Insurance & Financial Services Ombudsman Scheme. This is an independent dispute resolution service and is a free service and will cost you nothing and will help us resolve any disagreements. You can contact the Insurance & Financial Services Ombudsman Scheme.


Telephone Number:

Email address:

PO Box 10-845, Wellington 6143

0800 888 202

Duties Information

Shaw Financial Insurance and Investments Ltd Limited and it’s advisers.

Shaw Financial Insurance and Investments Ltd and any person giving advice on Shaw Financial Insurance and Investments Ltd behalf is bound by the following duties in the Act. That we and our advisers:

(i)            meet the standards of competence, knowledge, and skill set out in the Financial Advisers Professional code of conduct (Code of Conduct); and

(ii)          give priority to your interests; and

(iii)        exercise care, diligence, and skill; and

(iv)        meet the standards of ethical behavior, conduct, and client care set out in the code of conduct.

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, please ask us. If you have a question about Financial Advice Providers generally, you can contact the Financial Markets Authority.

Who Am I Regulated by The Government?

The Financial Markets Authority authorises and regulates Financial Advice Providers and Financial Advisers.