Wednesday, September 18, 2019

Tag: FMA

Regulators Disappointed With Sector’s ‘Weak Appetite’ For Change

The Reserve Bank of New Zealand and Financial Markets Authority have voiced their disappointment with life insurers’ responses to the joint Conduct and Culture...

FMA Cancels AFA Authorisation of Dunedin Adviser 

The Financial Markets Authority has cancelled Dunedin-based adviser Barry Edward Kloogh’s Authorised Financial Adviser (AFA) authorisation, as a result of concerns regarding compliance with...

Regulator Warns Advisers on Record Keeping

Financial Markets Authority CEO, Rob Everett, has emphasised the importance of documenting advice during a panel discussion on conduct and client care at the...

FMA Consults on New Financial Advice Regime Exemptions

The FMA has released a consultation paper seeking feedback on proposed exemption support for the new financial advice regime. The Financial Services Legislation Amendment Act 2019...

Poll Results –  Licensing Looms

In our latest poll, we asked whether you felt ready to submit your licensing application by 4 November, after the FMA recently announced this...

Latest Poll – Licence Application Ready

Our latest poll asks if you know you will be ready to submit your licensing application to the FMA by the 4 November. The regulator...

FMA Releases New Tool and Details on Transitional Licensing Applications

The Financial Markets Authority has announced it will start accepting transitional licence applications from 4 November 2019, as part of the new regime for...

Poll Results – Prepared Against Cyber Risk

In our latest poll, we asked how confident you felt that your financial advice firm can detect and protect against cyber threats. At the time...

FMA Outlines Key Risks for Sales, Advice and Distribution Sector

The Financial Markets Authority has published its medium-term view of the most significant risks to deliver its mission of fair, efficient and transparent financial...

Latest Poll – Cyber Risk

Our latest poll asks how confident you feel that your financial advice firm can detect and protect against cyber threats. The FMA has released a...