Awards Entry Form:

Best Ethical Financial Adviser

Entries are open until Wednesday 2nd April 2025

This award will go to the individual financial adviser who can best demonstrate how ethical issues are integrated throughout their client engagement and financial advice.

The category is open to independent financial advisers, financial advisers within advisory firms, financial advisers within wealth management companies, and other individual financial advisers.

An administration fee of $225 + GST is charged for each award entry. An invoice will be sent to the contact details submitted with the award entry.

Please contact awards@mindfulmoney.nz if you have any queries about the awards process.

This is an online form, and you cannot save it, so you may want to answer each section offline and paste it in.

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Financial Adviser nominee

Company Name

Website

Main contact for this award, if different from nominee

Email address

Phone number

Award entry submission

Please keep your total number of words to 2500. The judges may ignore any wording over this limit. You are encouraged to add links for more detailed information, but if you want to be sure your content is read, please include the information in your submission.

Position of Ethical Investment Advice within your advice proposition to clients.

- Describe how ethical investment advice sits within your overall advice proposition (and within the firm or network that you work within) e.g. fully integrated, or on-demand, specialist resource. - Describe how you promote or provide information to clients about your ethical investment advice service.

Approach to developing Ethical Investment Solutions for Clients

- Outline your approach to creating options to support your client to align ethical values with other financial investment goals; e,g: investment philosophy, process for selecting investment options, or building model portfolios to align with this philosophy. Explain any limitations (e.g. firm level philosophies, restrictions on providers, in-house DIMs structures etc) - Describe processes for ongoing review and assurance about how selected options are performing (both ethical outcomes vs expectations and returns). - Do you provide any additional elements to enhance the ethical investment proposition for clients e.g. thought leadership, analysis and insights, provision of innovative options, client seminars?

Describe how you integrate ethical considerations into each stage of client advice processes:

- Facilitating clients to identify their long term goals and ethical values . - Selecting ethical investment options to meet these goals - Delivering the recommendation to the client (including explaining ethical limitations / trade offs) - Once the investment is in place, do you provide ongoing information to clients about financial performance, ethical outcomes or material changes that could affect alignment with values or identify shifts in the client’s view of ethics? - Do you seek feedback from clients on your service and their satisfaction? - Do you provide advice to client groups that may have different needs e.g. iwi, charitable trusts? If so, how do you approach ethical investment advice for these entities? Please feel free to provide any case studies (anonymised) of your delivery of client centred ethical advice.

Competence, Knowledge and Skill to offer Ethical Advice

Describe your approach to professional development and keeping abreast of developments in ethical investing and best advice practices. Noting this might be via formal courses, events, mentoring, personal study etc. - Subject matter expertise (including any formal qualifications e.g. RIAA Sustainable Investment Advice, UN PRI, CFA etc) - Soft skills for high quality discussions with clients about ethical values. - Insights into the evolving needs and expectations of clients for ethical investing advice. - Keeping up to date with developments in ethical investment

Supporting documentation

Please include URL links to any supporting documentation for your entry, such as links to articles and other content referenced in the entry. We strongly encourage you to use URLs for your supporting documentation, however if you need to email any to us please send them to awards@mindfulmoney.nz.

Declaration

All information provided to Mindful Money through the 2025 Mindful Money Awards Entry Form is true and correct to the best of my knowledge.

The above declaration is true.

Yes

Terms & Conditions of Entry

- An administration fee of $225 + GST per award entry is charged. An invoice will be sent to the contact details submitted with the award entry and must be paid by 16th May 2025. - You may nominate your own business, or others. You do not have to be nominated in order to enter the awards. - All entrants must provide true and accurate information and disclose any liabilities such as business and/or tax related and/or current pending litigation, which could compromise the judges’ analysis of the business, and/or adversely affect the integrity and reputation of the Mindful Money Awards. - Mindful Money will not accept responsibility for errors or omissions reproduced in award publicity material, or for work lost or damaged. - Entrants should not make contact with the judges in order to lobby or promote their entry. - Judging will be based on the evidence provided in the initial entry. - Judges are required to declare any conflicts of interest. - Judges and Mindful Money staff sign a confidentiality agreement requiring that the information submitted will not be used for any other purpose than the judging process. - Once shortlisted within a category, supplementary information may be required. - Finalists and winners agree to being involved in publicity related to the awards, including photo and other media opportunities with sponsors, judges and Mindful Money staff. - A representative of category finalists must be available to attend the Awards ceremony at the Maritime Room in Auckland CBD on 5th June in person. - Mindful Money reserves the right and shall be permitted at all times to use at their discretion any material submitted for the Awards, on the Mindful Money website and in promotional and educational material for the purposes of generating awareness and publicity about the annual awards events.

I have read the Terms & Conditions of Entry and agree to comply with them.

Yes

Interested in becoming a sponsor and supporting the ethical investment movement?

Contact awards@mindfulmoney.nz