Heavier Focus on Compliance and Business Consolidation Predicted for 2022
Each year regulators such as the FMA, Department of Internal Affairs, and the Commerce Commission say they will increase their regulatory activities. However, 2022...
FAP Licensing and Wellbeing Zoom Conference
The Adviser Platform's plan for four adviser roadshows across the country during February have been switched to an online-only event as a result of...
Transitional FAP Licence Cancelled by FMA
The FMA has cancelled the transitional financial advice provider (FAP) licence of Wisdom House Investment Partners after its "sole financial adviser engaged in serious...
Mandatory Privacy Breach Reporting – Year One
It's a year since the introduction of the mandatory privacy breach reporting regime and Allan Yeoman of law firm Buddle Findlay says several high-profile...
Traffic Light System Helps Cigna Advisers Meet Regulations
Cigna NZ is helping independent financial advisers stay on top of their regulatory obligations with the launch of a new ‘My profile’ tool on...
Director Support Programme Launched by Compliance Refinery
Compliance Refinery in partnership with governance specialists Faraday & Company is offering a Director Support Programme to help directors of FAPs improve the governance...
Financial Advisers Offered Self-Assessment Licensing Tools
Three new self-assessment tools to help financial advice providers (FAPs) prepare for full licensing have been released by the FMA.
John Botica, FMA Director of...
Kiwis at the Heart of Regulatory Changes says Minister Clark
The financial wellbeing of all New Zealanders is at the heart of regulatory changes to the financial sector, said Minister David Clark during his...
How Fair Dealing Rules Could Catch out the Unwary
Financial advice firms publishing exaggerated claims, half-truths, and questionable statements need to brush up on Fair Dealing rules advises Strategi's Executive Director David Greenslade.
During...