Saturday, July 19, 2025

Compliance & regulation

Be ‘Crystal Clear’ on Advice Roles – FMA Case Study

An FMA reminder that providers contracting admin staff must be 'crystal clear' on what their roles entail and have processes to ensure...

FAP Forums Offer Insight into Regulatory Landscape

The FMA’s 2025 series of Financial Advice Provider Forums, which will see it engage with the advice sector across New Zealand, kicks off in...

Former Financial Adviser Pleads Guilty to Theft Charges

Former financial adviser, Murray McClune, has pleaded guilty to two charges of theft by a person in a special relationship, following an investigation by...

New Report Sets Out FMA’s Key Focus Areas

The Financial Markets Authority has released a key report designed to provide clarity to the financial sector on what to expect from the regulator. It...

FMA Cancels FAP’s Licence

News the FMA has cancelled the licence of a Financial Advice Provider at the firm's request drew strong reader interest this week... The Financial...

Financial Ombudsman Service Rated Accessible and Fair

An independent review report has found that a financial ombudsman service, Financial Services Complaints Limited, is delivering fair, accessible, and effective dispute resolution for...

Call for Insurer Transparency and Product Innovation

Australian regulator APRA wants Australian life insurers to provide greater transparency, improved product design, and more sustainable pricing practices to reduce surprise premium rate...

Majority of Advisers Not Prepared for FMA Visit – Poll Result

The results of our latest poll indicate that a majority of the adviser community does not believe their advice practice is well prepared for...

Latest Poll – Are You FMA Ready?

Our latest poll is seeking to investigate just how well prepared your advice business is ahead of a monitoring visit by the Financial Markets...