Are You Putting Compliance First?
Ryan Edwards of The Adviser Platform writes this week that well-resourced businesses run better, have more efficiency, less stress, and command a premium when...
Get Your Ducks in a Row When it Comes to Compliance
GUEST COLUMNIST – RYAN EDWARDS
While you're now likely approved for your FAP licence, it isn’t time to celebrate just yet as it is just...
FMA Podcast Covers FAP Licensing
The latest '5 Minutes with the FMA' series of podcasts features the organisation's Director of Deposit Taking, Insurance, and Advice, Michael Hewes.
In the podcast...
Time to Focus on First Regulatory Return says FSC
The first regulatory return for financial advice license holders is required by the FMA on 30 September 2024, but the reporting cycle starts on...
How to Handle a Security Breach
The FSC is running a free webinar to share ideas on what you can do if and when your computer system suffers a security...
Importance of Keeping Notes Highlighted by FSCL
This week's most-read feature is the report of an adviser who relied on her notes to prove she gave a client advice that they...
Complaints Handling Guide from the FMA
The FMA has published a guide for FAPs on how to respond to complaints from clients.
The regulator says complaints should be handled in a...
Bring in the Experts – Special Edition
A webinar featuring a panel from the FMA discussing the new regulatory returns is being held by Financial Advice NZ on Wednesday 26 April.
Katrina...
Life After Licensing – the FMA’s Approach and Expectations
GUEST COLUMNIST – KATRINA SHANKS
As the financial advice industry embraces the post-transitional period of the new financial advice regime, it's crucial for us to...