Optional Pathways to Full Licence
Financial advisers exploring a loophole to avoid sitting the Level 5 exam may be making a poor choice by relying on an apparent 'get...
FMA Launches New Podcast
The FMA has launched the first in a series of podcasts with the show's premiere featuring the regulator's Director of Supervision James Greig discussing...
New Appointment at the FMA
The FMA has appointed Margot Gatland (pictured) as its new Head of Enforcement. She was previously the organisation's Acting Head of Enforcement.
Gatland has been...
‘Flawed Logic’ in Calls to Ban Risk Commissions
Calls to completely ban life insurance commissions across the ditch (and the 'flawed logic' associated with these calls) receives our nod for the Story...
Conduct of Financial Institutions Bill Becomes Law
The Financial Markets (Conduct of Institutions) Amendment Bill has been passed into law. It means banks, insurers, and non-bank deposit takers (NBDTs), will work...
FMA Highlights Finance Sector Cyber Security Failings
The FMA has published an information sheet to help financial services firms ensure their computer systems meet licence obligations.
It says cyber attacks affecting New...
Adviser Support Firm Expands to Help Mortgage Brokers
The Adviser Platform has expanded its CRM to offer clients an advice process for mortgage advisers – so they can provide advice and manage...
Finzo Appoints New Compliance Officer
Financial advice provider Finzo has appointed Stacey Jacobsen (pictured) as its in-house Compliance Officer.
Jacobsen has experience in administrative and planning roles, with more than...
Thousands of Advisers Yet to Apply for a Full Licence
Catching the attention of readers this week was our report based on the FMA's announcement that less than a third of transitional licence holders...