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Anita is a financial planner who advertises in the local newspaper. As a result of seeing the advertisement Cameron arranges a 1-hour appointment with Anita. Cameron has a fixed sum of money to invest and is seeking a safe but profitable investment. Much of the interview is taken up with discussing the Financial Services Guide (FSG) and only a minimum of Cameron's personal details is obtained. At this meeting Anita handed Cameron her business card, which described her as an "Independent Financial Planner". Cameron was particularly impressed with the fact that Anita received a fee for service; he regarded this as a sign of independence.
However, what Cameron didn't know and wasn't told, was:
• that the company whose products Anita mainly recommended had an on-going "soft dollar" arrangement with her. She would receive free advertising in their monthly publication sent out to all clients and free access to the research database used by that company
• that Anita is an authorised representative of Financial Mismanagement Australasia Pty Ltd
Cameron is handed 4 Product Disclosure Statements and over the next few weeks makes several telephone calls to Anita requesting clarification of some aspects. Cameron then calls at Anita's office with the applications and cheques completed. Anita at this stage realises that he has not completed her disclosure requirements and attempts to rectify the situation by forwarding a Statement of Advice.
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